a model curriculum for judges - Center for Sex Offender Management

Transcription

A MODEL CURRICULUM FOR JUDGES
Judicial Educator
and
Faculty Handbook
This project was supported by Grant No. 2007-DG-BX-K007 awarded by the Bureau of Justice
Assistance. The Bureau of Justice Assistance is a component of the Office of Justice Programs, which
also includes the Bureau of Justice Statistics, the National Institute of Justice, the Office of Juvenile
Justice and Delinquency Prevention, the SMART Office, and the Office for Victims of Crime. Points of
view or opinions in this document are those of the author and do not represent the official position or
policies of the United States Department of Justice.
© 2010 The National Judicial College. All materials in this publication are copyrighted by The National
Judicial College unless otherwise noted. Permission is hereby granted for the use and adaptation of
these materials for nonprofit educational purposes, conditioned upon proper attribution and disclaimer
accepting full responsibility for any adaptations thereto. All other rights are reserved, including the right
of reproduction in whole or in part in any form.
PREFACE AND ACKNOWLEDGMENT
This project was funded by the Bureau of Justice Assistance of the Department of Justice and
developed in partnership with the Center for Sex Offender Management (CSOM). Kurt Bumby, Ph.D.,
CSOM, led the development of the clinical and evidence-based sentencing modules and resource
materials. The Honorable Michael J. Sage, Judge, Court of Common Pleas, Butler County, Ohio, and
the Honorable J. Richard Couzens, Judge (ret.), Superior Court of California, County of Placer, led the
development of the sentencing decision and its implications module. The Office of Sex Offender
Sentencing, Monitoring, Apprehending, Registering, and Trafficking (SMART) led the development of
the module on Sex Offender Registration Sex Offender Registration and Notification Act (SORNA),
Title I of the Adam Walsh Child Protection and Safety Act of 2006. Melissa Piasecki, M.D., Professor of
Psychiatry, University of Nevada School of Medicine; William F. Dressel, President, The National
Judicial College; Robin Wosje, Director of Grant Projects and Special Initiatives at NJC; and William J.
Brunson, Director of Special Projects at NJC, contributed invaluable time reviewing the curriculum.
We also wish to recognize the assistance of Trace Robbers, Director of Communications, and Christina
Nellemann, Graphics Designer, for their invaluable work in designing and publishing the curriculum;
and we wish to recognize the assistance of Cat Todd, Course Administrator, in preparing the materials
for the pilots and curriculum.
The National Judicial College gratefully acknowledges the contributions of the following
individuals who participated in a curriculum development meeting that served as the foundation for
the curriculum: Claudia J. Bayliff, Project Attorney, National Judicial Education Program; Kurt Bumby,
Ph.D., Senior Manager, CSOM; the Honorable Caprice Cosper, then-Judge, District Court of Harris
County, now Director, Office of Criminal Justice Coordination, Houston; Madeline (Mimi) Carter,
Principal, CSOM; Alan Goulart, then-Chief, Criminal Division, Office of the Attorney General, Rhode
Island, now Judge, Rhode Island Traffic Tribunal; Melissa Piasecki, M.D., Professor of Psychiatry,
University of Nevada School of Medicine; the Honorable Ronald S. Reinstein, Director, Center for
Evidence-Based Sentencing, Arizona Supreme Court; Laura Rogers, SMART; Erin Rosen, then-General
Counsel, Ohio Law Enforcement Gateway, now Owner/Consultant, EGR Consulting Services, LLC; Lynn
Hecht Schafran, Director, National Education Program, Legal Momentum; Tom Talbot, Senior
Manager, CSOM; and the Honorable Raymond B. White, Judge, Circuit Court of Jackson County,
Oregon.
Special thanks are extended to Kim Valentine, Deputy Director-Operations, Harris County
Community Supervision and Corrections, and the Honorable Megan Kline, Magistrate, Court of Common
Pleas, Butler County, Ohio, for their contributions.
Special thanks are also extended to the Ohio Judicial College; the Honorable Janet Burnside,
Judge, Court of Common Pleas, Cuyahoga County, Ohio; and the Honorable Michael J. Sage, Judge,
Court of Common Pleas, Butler County, Ohio, for partnering with the National Judicial College to
present a pilot of the curriculum in the state of Ohio, and to the Ohio judges who participated in the
pilot and provided valuable feedback evaluating the pilot course. Special thanks are likewise extended
to the California Administrative Office of the Courts, Center for Judicial Education and Research; the
Honorable J. Richard Couzens, Judge (ret.), Superior Court of California, County of Placer; the
Honorable David J. Danielsen, Judge, Superior Court of California, County of San Diego, and Melissa
Piasecki, M.D., Professor of Psychiatry, University of Nevada School of Medicine, for partnering with the
National Judicial College to present a pilot of the curriculum in the state of California, and to the
California judges who participated in the pilot and likewise provided valuable feedback evaluating the
pilot course.
-- Daphne A. Burns, Program Attorney
TABLE OF CONTENTS
I.
CURRICULUM OVERVIEW ........................................................................................... 1
A.
COMPONENTS OF THE CURRICULUM .................................................................. 1
B.
EVALUATING THE CURRICULUM ........................................................................ 1
II.
SUGGESTIONS FOR THE JUDICIAL EDUCATOR AND FACULTY ............................................... 2
III.
PRESENTING THE CURRICULUM ................................................................................... 3
IV.
IV.
A.
THREE-HOUR COURSE PRESENTATION............................................................... 3
B.
SIX-HOUR COURSE PRESENTATION ................................................................... 4
C.
EIGHT-HOUR COURSE PRESENTATION ............................................................... 4
FACULTY SELECTION AND JUDICIAL EDUCATION TOOLS .................................................... 5
A.
FACULTY SELECTION .................................................................................... 5
B.
NOTES FOR FACULTY ..................................................................................... 5
C.
MODIFICATION OF CURRICULUM ...................................................................... 6
D.
HELPFUL HINTS ........................................................................................... 6
E.
ADULT LEARNING ACTIVITIES .......................................................................... 6
MODULES .............................................................................................................. 8
A.
MODULE ONE: UNDERSTANDING SEX OFFENDERS AND SEXUAL VICTIMIZATION........... 9
B.
MODULE TWO: ASSESSMENT OF SEX OFFENDERS ............................................... 32
C.
MODULE THREE: TREATMENT AND SUPERVISION OF SEX OFFENDERS ..................... 63
D.
MODULE FOUR: CASE STUDIES: ..................................................................... 89
E.
MODULE FIVE: SENTENCING DECISION AND ITS IMPLICATIONS, INCLUDING
CONDITIONS TO IMPOSE ............................................................................ 173
F.
MODULE SIX: EVIDENCE-BASED SENTENCING ................................................. 217
G.
MODULE SEVEN: SEX OFFENDER REGISTRATION AND NOTIFICATION ACT .............. 239
SENTENCING SEX OFFENDERS: A MODEL CURRICULUM FOR JUDGES
I.
CURRICULUM OVERVIEW
This course will assist trial judges in developing sentencing practices for some of the
most challenging criminal defendants: convicted sex offenders. The curriculum was designed to
serve as an introduction to six facets of sentencing and managing sex offenders: the
contemporary research and literature on sex offenders and sexual victimization; tools used to
assess sex offenders, and the areas of uncertainty; types of treatment and other interventions
used to reduce the risk of offenders; sentencing decision and its implications, including
conditions to impose; evidence-based sentencing research; and the Sex Offender Registration
and Notification Act.
A.
COMPONENTS OF THE CURRICULUM
The curriculum consists of the following seven modules:
Module One:
Understanding Sex Offenders and Sexual Victimization;
Module Two:
Assessment of Sex Offenders;
Module Three:
Treatment and Supervision of Sex Offenders;
Module Four:
Case Studies
Module Five:
Sentencing Decision and Its Implications, Including Conditions to
Impose;
Module Six:
Evidence-Based Sentencing; and
Module Seven:
Sex Offender Registration and Notification Act.
To present these seven modules, the CD contains these components:
•
•
•
B.
PowerPoint® presentations for Modules One, Two, Three, Five, Six, and Seven with
substantive faculty notes;
Case Studies, with a synopsis for each case, in Adobe®; and
Resource Center with articles, additional resources, and references for the presenter
and participants.
EVALUATING THE CURRICULUM
In the Resource Center on the CD, you will find three documents that will assist in
evaluating the curriculum: (1) a document entitled, “Levels of Evaluation – An Introduction to
Evaluations,” which outlines the evaluation process; (2) a Level One evaluation; and (3) a postcourse quiz. The National Judicial College asks that those who use this curriculum utilize the
evaluation and post-course quiz; compile the results; and forward them to the following e-mail 1
address: [email protected]. Alternatively, we ask that you simply forward the raw evaluations
and quiz answers, and NJC will compile them. NJC will use these data to modify later versions
of the curriculum.
II.
SUGGESTIONS FOR THE JUDICIAL EDUCATOR AND FACULTY
The curriculum was designed to be presented in three-to-eight hours, depending upon
the needs and time available for presenting the course. Below are brief descriptions of each
module, together with the approximate time for delivering the module, to assist you in planning
your course. (Lengthier descriptions, together with learning objectives, precede the modules,
which are set forth below beginning on page 12.) In the “Presenting the Curriculum” section,
below, are recommendations for presenting three-hour, six-hour, and eight-hour courses.
MODULE ONE: UNDERSTANDING SEX OFFENDERS AND SEXUAL VICTIMIZATION
The first module briefly summarizes the contemporary research and
literature on sex offenders and sexual victimization.
Approximate time: 55-75 minutes, depending upon length of discussions
MODULE TWO: ASSESSMENT OF SEX OFFENDERS
The assessment module provides information on assessments commonly
used to estimate risk posed by sex offenders, along with some of the
areas of uncertainly in the assessments, and expected qualifications of
those who conduct the assessments.
MODULE THREE: TREATMENT AND SUPERVISION OF SEX OFFENDERS
This module describes sex offender-specific treatment, its goals,
strengths and weaknesses. With one of the goals of treatment being to
reduce the offenders’ risk of re-offending, the information in this module
will assist judges in making informed decisions that complement this goal.
MODULE FOUR: CASE STUDIES
Module Four consists of five case studies derived from actual cases. The
cases were chosen based on the varying crimes, offenders, and victims
they present. The case studies are an integral part of the curriculum and
should be used for any length course, as discussed more fully under
“Modules” section, beginning at page 9, below.
Approximate time: 15-20 minutes of small group discussion per case
2
MODULE FIVE: SENTENCING DECISION AND ITS IMPLICATIONS, INCLUDING CONDITIONS TO
IMPOSE
There are two versions of Module Five: Module Five-S – a shorter
version, for use in conjunction with Module Two; and Module Five-L – a
longer version, for use at a course or presentation without Module Two.
Module Five-L contains assessment slides; Module Five-S does not. Both
versions of the module provide information on sentencing factors judges
may consider in sex offender cases; the role of the victim at trial and
sentencing; appropriate conditions of probation; and other issues relative
to sentencing.
Approximate time:
Module Five-S: 55-80 minutes, depending upon length of discussions
Module Five-L: 70-100 minutes, depending upon length of discussions
MODULE SIX:
EVIDENCE-BASED SENTENCING
This module provides an overview of evidence-based practice research
and demonstrates the relevance of this body of work to the management
of adult sex offenders.
MODULE SEVEN: SEX OFFENDER REGISTRATION AND NOTIFICATION ACT
Module Seven was prepared by the Office of Sex Offender Sentencing,
Monitoring, Apprehending, Registering, and Tracking (SMART) of the U.S.
Department of Justice. It describes the responsibilities of the SMART
Office and summarizes the Sex Offender Registration and Notification Act
(SORNA).
Approximate time: 15 minutes
III.
PRESENTING THE CURRICULUM
A.
THREE-HOUR COURSE PRESENTATION
For a three-hour curriculum, we recommend the following (approximately 115180 minutes,* depending upon length of discussions):
Module Five-L: Sentencing Decision and Its Implications, Including Conditions to Impose,
through Slide 45 (approximately 70-100 minutes);
Module Four: Case Studies: Select two case studies for small groups to discuss
(approximately 30-40 minutes total); and
3
Module Five-L: (Continued) – depending upon which two Case Studies are chosen (an
additional approximately 10-15 minutes):
John A. Doe – Slides 48-54; and/or
John B. Doe – Slides 55-61; and/or
John C. Doe – Slides 62-69; and/or
Jane A. Doe – Slides 71-80; and/or
Jane B. Doe – Slides 81-88.
*Note: Although this curriculum can be completed in approximately two hours, we
recommend allowing for additional time for discussion of these subjects in this particularly
challenging area of sentencing.
B.
SIX-HOUR COURSE PRESENTATION
For a six-hour curriculum, we recommend the following (approximately 255-355
minutes,* depending upon length of discussions):
Module One: Understanding Sex Offenders and Sexual Victimization (approximately 5575 minutes);
Module Two: Assessment of Sex Offenders (approximately 55-80 minutes);
Module Three: Treatment of Sex Offenders (approximately 45-65 minutes);
Module Four: Case Studies: Select two case studies for small groups to discuss
(approximately 30-40 minutes total):
Jane B. Doe – Slides 81-88; and
Module Five-S:Sentencing Decision and Its Implications, Including Conditions to Impose
(approximately 55-75 minutes, plus an additional 10-15 minutes for case
studies discussion (based on two case studies)).
*Note: Although this curriculum can be completed in approximately four-and-a-half
hours, we recommend allowing for the additional time for discussion of these subjects in this
particularly challenging area of sentencing.
C.
EIGHT-HOUR COURSE PRESENTATION
For an eight-hour curriculum, we recommend the following (approximately 320-465*
minutes, depending upon length of discussions):
4
Module One: Understanding Sex Offenders and Sexual Victimization (approximately 5575 minutes);
Module Two: Assessment of Sex Offenders (approximately 55-80 minutes);
Module Three: Treatment of Sex Offenders (approximately 45-65 minutes);
Module Four: Case Studies: Select three case studies for small groups to discuss
(approximately 45-60 minutes total):
Jane B. Doe – Slides 81-88; and
Module Five-S: Sentencing Decision and Its Implications, Including Conditions to
Impose, through Slide 45 (approximately 55-75 minutes, plus an
additional 10-15 minutes for case studies discussion (based on two case
studies));
Module Six:
Evidence-Based Sentencing (approximately 50-88 minutes) or,
alternatively, a session on applicable state law. If you choose to present
a session on applicable state law, we recommend you schedule that
module before Modules Four and Five.
*Note: Although this curriculum can be completed in approximately five-and-a-half
hours, we recommend allowing for the additional time for discussion of these subjects in this
particularly challenging area of sentencing.
IV.
FACULTY SELECTION AND JUDICIAL EDUCATION TOOLS
A.
FACULTY SELECTION
The curriculum was designed to be presented by a judicial officer who is paired with
someone with a doctoral degree in psychology or medical degree in psychiatry to present the
clinical modules (Modules One through Three). We encourage you to select presenters with a
strong working knowledge of the topics so they can add commentary and draw on their
experience in the presentations. The presenters should review this faculty manual,
PowerPoint® presentations, case studies, quiz, and other documents included with this model
curriculum including those contained in the Resource Center on the CD.
B.
NOTES FOR FACULTY
After the overview of each module, below, there is a reproduction of the PowerPoint®
slides and the notes contained therein, to assist the faculty member with teaching. The
majority of PowerPoint® presentations contain notes for the presenter within the slides. The
5
notes were developed to assist the presenter with his or her presentation and not necessarily as
part of the course materials for the participants.
C.
MODIFICATION OF THE CURRICULUM
This curriculum was developed as an introduction to the subject matter. The presenter
may modify the presentation and exercises to meet the needs of the audience, styles of the
presenters, and amount of time allotted for the sessions.
D.
HELPFUL HINTS
Please note that the PowerPoint® presentations were developed with the Microsoft®
Office XP version of PowerPoint®, but they may be used and modified with any version of
Microsoft® PowerPoint®.
We recommend printing the PowerPoint® presentations as a handout for the
participants.
Equipment needed for presentation of the curriculum: LCD projector; computer with any
version of Microsoft® PowerPoint® software; and display screen.
E.
ADULT LEARNING ACTIVITIES
This judicial educator and faculty guide, and the PowerPoint® presentations, contain
recommended adult learning activities for each module and for particular slides within the
modules. Using the case studies throughout the curriculum presents an ongoing, and
important, activity. The activities that follow are recommended as additional exercises for use
with the curriculum:
ACTIVITY FOR SMALL GROUPS
•
•
•
•
•
•
•
Give all instructions before splitting them into groups.
Develop explicit instructions concerning what you want them to do.
Provide a handout with written as well as oral instructions for the activity.
Ask each group to select a reporter (if necessary – for reporting back to the
larger class) and a recorder (if necessary – for producing a written product to be
reported back to the larger class).
Set a time limit. You can be flexible but give them some idea of how long you
anticipate the activity to take.
Before ending the group work, give the participants a one-minute time warning
telling them to wrap things up.
If there is a report-back, be clear in your instructions about what you expect the
reporters to report.
BRAINSTORMING
•
•
•
Provide a clear statement about what you want the participants to brainstorm.
Have a title prepared on your easel pad with a summary of the statement.
Write each response as it is provided.
6
•
•
•
•
Seek clarification on each provided point or ask the participant, “May I write x” to
simplify the entry or otherwise frame it so it fits the objective.
Don’t critique or allow others to critique.
Consider asking a participant or fellow instructor to capture the responses
(ensure they have good handwriting and can spell).
Provide closure for the brainstorming exercise. State why you solicited ideas and
how they fit into the larger educational session.
ROLE PLAYS
•
•
•
•
•
•
Provide a cast of role players.
Provide a script or have students improvise dialogue (the latter is preferred).
Ensure that the role play is relatively brief (3 to 5 minutes at most).
Base the role play on a factual scenario that is realistic.
Consider providing differing information to the various role players to more
realistically represent the fact that different persons would have access to
different information.
Provide sufficient time to adequately debrief the role play.
DISCUSSIONS
•
•
•
•
Plan key questions in advance.
Consider beginning with simple questions and progressing to the more complex
questions.
Identify what the likely answers will be to your questions.
Be prepared with follow-up comments or to emphasize the salient issues.
7
V.
MODULES
A.
MODULE ONE: UNDERSTANDING SEX OFFENDERS AND SEXUAL VICTIMIZATION
DESCRIPTION OF THE MODULE
The first module briefly summarizes the contemporary research and literature on sex
offenders and sexual victimization. While the information provided may confirm what the
audience members already know about these offenders and victimization, it may also challenge
some of their perceptions and beliefs; it also identifies areas of controversy.
LEARNING OBJECTIVES
At the conclusion of this module, participants will be able to:
•
•
•
•
•
Name the most common victim-offender relationships and locations for crimes;
Discuss the issues surrounding sexual victimization;
Describe ways in which sex offenders differ from one another;
Understand implications of diversity on sentencing; and
Describe some of the current uncertainties about sex offense and recidivism data.
ACTIVITIES & EXERCISES
•
•
Introductory Quiz
Large Group Discussions
HANDOUTS
•
Introductory Quiz
The presenter should distribute the one-page quiz about sex offenders, sexual
victimization, and management of these cases (for use with the presentation of Modules
One through Three) before beginning the presentation. Participants should be
instructed to complete the quiz on their own. The presenter can indicate that the items
on the quiz will be discussed throughout these three modules, and there will be a “check
in” about the correct answers at the end of the event so that participants can evaluate
their level of knowledge, and gauge if – and how – it changed throughout the day.
8
Lecture (less than 1 minute):
This first module briefly summarizes the
research and literature on sex
offenders and sexual victimization.
While the information provided may
confirm what the audience already
knows about these offenders and
victimization, it may also challenge
some of their perceptions and beliefs
and identify areas of controversy. At the
end of this module, there will be a brief
discussion on the implications of the
information provided on sentencing
practices in sex offense cases.
Slide 1
Understanding Sex Offenders
and Sexual Victimization
Slide 2
Lecture and Large Group Discussion
(1 minute):
Review the learning objectives for this
session with the participants. (“At the
conclusion of this module, the
participants will be able to . . .”)
Learning Objectives
• Name the most common victim-offender
relationships and locations for crimes;
• Discuss the issues surrounding sexual
victimization;
• Describe ways in which sex offenders
differ from one another;
• Understand implications of diversity on
sentencing; and
• Describe some of the current uncertainties
about sex offense and recidivism data.
Slide 3
Quiz (2-3 minutes):
The presenter should distribute the
one-page quiz about sex offenders,
sexual victimization, and the
management of these cases.
Participants should be instructed to
complete the quiz on their own. The
presenter can indicate that the items on
the quiz will be discussed throughout
the modules, and that there will be a
“check in” about the correct answers at
the end of the event so that participants
can evaluate their level of knowledge,
and gauge if – and how – it changed
throughout the day.
This slide contains an overview of how,
and in what order, the materials in this
module will be presented.
Research on Judges’ Challenges in
Sex Offender Cases
Incidence and Prevalence Trends
Victim Issues in Court Practices
Uncertainties in Sex Offender Data
Offender Characteristics
Recidivism Research
Dynamics of Sexual Victimization
Overview
9
Slide 4
Lecture (1 minute):
Because of the nature of sex crimes
and the significant impact that can
result from sexual victimization, few
criminal justice populations create as
much public concern as sex offenders.
The extensive media coverage of these
crimes may influence the public’s and
criminal justice system actors’
perceptions and beliefs about these
cases, and can contribute to fears
among community members about their
safety and the potential for sexual
victimization. The media’s interest in
these cases may also reinforce myths
and misinformation about the
individuals who commit sex crimes and
the people who are most likely to be
targeted. A number of these myths will
be covered during this module. This
and other modules will also address
areas of controversy within the
research community.
Factors that Pose Difficulties
in Sex Offender Cases
• Disproportionate media attention
• Negative public sentiment
• Widespread myths, conflicting information
• Proliferation of sex offender-specific laws
• Imperfect science
Misunderstandings about sex offenders
– particularly in the absence of
information about the sex offender
management strategies that are
currently in place in a jurisdiction – can
increase community members’
understandable concerns, and lead to
demands for additional efforts by the
criminal justice system to protect them
and their communities.
Lawmakers at the federal, state, and
local levels have responded by
proposing and enacting sex offenderspecific legislation at an unprecedented
level over the past few years. A number
of these laws, including those that
require mandatory minimum sentences
for certain sex offenses and registration
and community notification, limit judicial
discretion in these cases and impact
sentencing.
10
Large Group Activity (3-4 minutes):
The presenter should query the
audience about issues they have
experienced that make judicial
decision-making in these cases
challenging, and capture the reflections
of those present in writing on a dry
erase board. This exercise will provide
the presenter with important information
about the perspectives, questions, and
needs of those in the room, and may
help him/her to determine what topics
in this curriculum need more or less
attention during the session. In
addition, as the event progresses, the
presenter can refer back to the list
when the issues that are mentioned
during this brainstorming session are
addressed, thereby making it clear to
the audience that one of the purposes
of the event is to meet their needs for
information about these cases. For
example, one or more judges might
express concern about the quality of
specialized assessment information
that they receive prior to sentencing in
these cases. This issue is covered in
the modules that follow on assessment
and evidence-based sentencing. When
these topics surface in subsequent
modules, the presenter can refer back
to the list generated during this
discussion and connect these stated
“concerns” to the topics being
discussed.
Slide 5
What Difficulties Have You Faced?
Research on Judges’ Difficulties
in Sex Offender Cases
11
Slide 6
Judges’ Difficulties Presiding Over
Sex Offense Cases
Legal/Technical Perspective
More or Much
More Difficult
No More Difficult
(Bumby & Maddox, 1999)
Lecture (1-2 minutes):
The judges in the survey were asked to
compare their experiences presiding
over sex offense cases with their
experiences with other kinds of criminal
cases, from a number of different
perspectives. More than 60 percent,
almost two thirds, of the judges
indicated that they find sex offense
cases to be more or much more difficult
than other kinds of criminal cases, from
a legal or technical perspective.
From a public scrutiny or public
pressure perspective, most of the
judges, almost 90 percent, indicated
that they find sex offense cases to be
more or much more difficult than other
kinds of criminal cases. Given the high
level of concern on the part of the
public about these cases, this finding is
understandable.
From a personal or emotional
perspective, it is interesting that a great
majority of judges also found sex
offense cases to be more or much
more difficult than other types of
criminal cases.
This kind of personal or emotional
response is quite common among
representatives from all of the agencies
and disciplines that share responsibility
for sex offender management. Those
who investigate these crimes, victim
advocates who are involved in these
cases, probation and parole officers,
treatment providers, and others also
report that these cases are particularly
difficult to manage, from a personal or
emotional perspective. Like judges,
these system actors find it to be quite
challenging to be exposed to the details
of sexual victimization on a regular
basis.
12
Slide 7
Sex Offense Cases (cont.)
Public Scrutiny/Pressure Perspective
More or Much
More Difficult
No More Difficult
Slide 8
Sex Offense Cases
Personal/Emotional Perspective
More or Much No More Difficult
More Difficult
Slide 9
Specific Decision-Making Difficulties
Reported by Judges
• Pre-existing relationship between
accuser and accused
• Reluctance or refusal of victim to testify
• Limited evidence, lack of corroborating
evidence
In response to a question on a survey
about factors which make decisionmaking in sex offense cases difficult, a
number of judges mentioned the
familial or other pre-existing
relationship between the offender and
victim as a factor, and a reluctance or
refusal on the part of victims in some
instances to testify in these cases.
Other judges cited evidentiary issues,
such as ambiguity in evidence and a
frequent lack of corroborating evidence
as conditions that make presiding over
these cases particularly difficult.
(Bumby & Maddox, 1999).
13
Slide 10
Specific Decision-Making Difficulties
Reported by Judges (cont.)
• Defendant’s injection of reasonable
doubt into circumstances of the crime
• Interpretation and application of (and
limited confidence in) assessments
• Limited information about “what works”
Lecture (1 minute):
Additional difficulties reported by judges
included the ease with which
defendants can inject reasonable doubt
into the circumstances of these crimes,
questions about accurately interpreting
the results of specialized assessments
and about the quality of these
assessments, and a lack of information
about what works in these cases
(Bumby & Maddox, 1999).
Recognizing that judges need practical,
up-to-date, and user-friendly
information about assessment and
management strategies that are
effective with this offender population,
the modules in this curriculum will
include guidance about what judges
should look for in specialized sex
offender assessments, how to interpret
their results and utilize them to inform
sentencing decisions, and what kinds of
treatment and supervision strategies
are promising – and can reduce the
likelihood that these offenders will
recidivate. In addition, the curriculum
has been designed to address and
allay some of the other common
concerns and questions that judges
have about these cases.
Slide 11
INCIDENCE AND PREVALENCE TRENDS
Sexual abuse is widespread in this
country. According to nationally
representative victimization surveys,
approximately one in every four girls
and one in every six boys in this
country report experiencing sexual
abuse during childhood (see, e.g.,
Finkelhor, 1994; Finkelhor et al., 2005).
And one in every six women and one in
every 33 men report being the victims
of rape (see, e.g., Tjaden & Thoennes,
2006).
Slide 12
Incidence and Prevalence Trends
• Childhood Sexual Abuse
– 1 in 4 girls
– 1 in 6 boys
• Rape
– 1 in 6 women
– 1 in 33 men
(See, e.g., Finkelhor, 1994; Finkelhor et al., 2005; Tjaden & Thoennes, 2006)
14
Group Discussion (2-3 minutes):
(Query the participants as to how the
prevalence data compares with their
experience.) Some people find the
prevalence data to be higher than they
expect. Others, including judges who
have heard many potential jurors
describe histories of victimization,
believe the actual figures to be higher.
Slide 13
Does This Prevalence Data
Compare to Your Experience?
Large Group Discussion (2-3
minutes):
Some judges have experience in
selecting juries for sex offender cases
where personal/familial victimization
has been an issue. Some judges debrief juries after sexual assault cases.
Slide 14
What are the Challenges in Jury
Selection and Management?
The contemporary literature not only
provides information about the
incidence and prevalence of sexual
victimization, it also includes data on
the dynamics associated with it,
including the kinds of relationships that
exist between victims and offenders,
the locations where victimization
occurs, reporting rates, and the impact
on victims – both in the short- and longterm.
Slide 15
Victim-Offender Relationship
Locations Where Victimization Occurs
Reporting Rates
Short- and Long-Term Impact
DYNAMICS OF
SEXUAL VICTIMIZATION
Large Group Discussion (1 minute):
Throughout this module, a number of
items on the quiz that participants
completed at the beginning of the
session will be covered in PowerPoint
slides in the form of myths and facts.
The statement on this slide is a fact.
The presenter should ask the audience
members if the statement reflects a
myth or a fact, do some brief
processing of responses, and
emphasize that the statement is a fact.
The information in the slide that follows
supports the conclusion that the
statement is a fact.
Slide 16
Myth or Fact?
Those who commit sex crimes are
usually known to their victims.
15
Slide 17
Sexual Victimization of Children and Adolescents:
Victim-Offender Relationship by Victim Age
80%
60%
40%
20%
0%
0 to 5
6 to 11
Family
12 to 14
Acquaintance
15 to 17
Stranger
(Snyder & Sickmund, 2006)
Lecture (1 minute):
Not surprisingly, victims and offenders
typically know one another in cases of
adult rape as well. When rape victims
are women, offenders are known to
them in more than 80 percent of cases.
When rape victims are men, offenders
are known to them in almost 80 percent
of cases (Tjaden & Thoennes, 2006).
Slide 18
Rape: Victim-Offender Relationship
Female Victims
Strangers
Lecture (1 minute):
This is a summary of what is known
about the kinds of relationships
between victims and offenders in
sexual victimization cases involving
children and adolescents. In cases
where the victim is 0 to 5 years of age,
almost 60 percent of offenders are
family members, more than 40 percent
of offenders are acquaintances, and
less than 5 percent of offenders are
strangers (Snyder & Sickmund, 2006).
The overall trend remains the same as
the age of the victim increases, with the
great majority of offenders being either
family members or acquaintances of
victims. This research contradicts the
common misperception that many
offenders are strangers to the child or
adolescent victims. Clearly, this is not
the case. The vast majority of child and
adolescent victims are known to those
who assault them.
Male Victims
Known
(Tjaden & Thoennes, 2006)
Because of the disproportionate
amount of publicity that sex crimes
involving stranger attacks receive, this
information about victim-offender
relationships may be surprising to
some. While it is important to be
concerned about stranger attacks, the
reality that most sex crimes occur in the
context of familiar relationships should
not be overlooked.
The statement on this slide is a myth.
Slide 19
Myth or Fact?
(The presenter should ask the audience
emphasize that the statement is a
myth. The information in the slide that
follows supports the conclusion that the
statement is a myth.)
When sexual victimization occurs, it
usually takes place at a location that
is not familiar to the victim.
16
Slide 20
Most Common Locations Where
Sexual Assaults Occur
• Adult victims
– Victim’s home (39%)
– Home of friend, other relative (24%)
• Child and adolescent victims
– Home (81%)
– School (8%)
(Rennison, 2001; Snyder, 2000; Snyder & Sickmund, 2006)
Given that most victims are known to
offenders, it is not surprising that sexual
assaults usually occur at or close to the
homes of victims (Rennison, 2001;
Snyder, 2000; Snyder & Sickmund,
2006). Family members and
acquaintances who perpetrate these
crimes often have easy access to the
homes of their victims.
More than 80 percent of sex crimes
against children and adolescents occur
in their homes (Snyder & Sickmund,
2006), the place where they are
supposed to be the safest.
Slide 21
Myth or Fact?
(The presenter should ask the audience
emphasize that the statement is a
myth.)
Reporting rates for sex crimes are
higher than for other kinds of
crimes against persons.
The information in the slide that follows
supports the conclusion that the
statement is a myth.
17
Slide 22
Reporting Rates for Various Crimes
Against Persons
100%
80%
66%
60%
57%
42%
40%
20%
0%
Robbery
Aggravated
Assault
Rape/Sexual
Assault
(Rand, 2008)
Reporting rates for rape and sexual
assault are lower than for other kinds of
crimes against persons, such as
robbery and aggravated assault (Rand,
2008). Other research indicates that the
reporting rates are far lower – 16% for
forcible rape, and as low as 10% for
drug-facilitated/incapacitated rape
(Kilpatrick, et al., 2007).
minutes):
(The presenter should ask the judges
who are present why reporting rates
are lower for rape and sexual assault.)
Possible responses that can be
processed with the participants include:
• The extremely private and
personal nature of sexual
victimization;
• Anxiety on the part of victims
about their identity being made
public;
• Fears that they will not be
believed;
• Self-doubt and self-blame;
• Fear of reprisal;
• Emotional ties to, financial
dependence on, and/or concerns
about the prosecution of the
perpetrator; and
• Fears about being blamed for the
crime.
Slide 23
Examples of Potential Short- and
Long-Term Impact on Victims
• Fear, anxiety
• Depression, suicidal ideation and attempts
• Self-esteem, self-image difficulties
• Relationship difficulties
• Substance abuse
• Delinquency
• Post-Traumatic Stress Disorder
18
Lecture (1 minute):
Whether or not they choose to disclose
that they were abused sexually, it is
important to understand that victims
experience a wide variety of responses
to these kinds of crimes. Different
victims respond in different ways. Some
examples of the potential short- and
long-term impacts that sex crimes may
have on victims include (see, e.g.,
Tjaden & Thoennes, 2006):
• Fear and anxiety;
• Depression, as well as thoughts
about suicide and, in some cases,
suicide attempts;
• Self-esteem and self-image
difficulties;
• Relationship problems;
• Alcohol and drug abuse;
• Engagement in delinquent
behavior; and
• Post-traumatic stress disorder
(“PTSD”). PTSD is an anxiety
disorder that can develop after
exposure to a traumatic event,
such as a sexual assault. Those
with PTSD may experience
flashbacks and nightmares; they
may avoid places, people, or
other things that remind them of
the traumatic event; and they may
feel numb, or they may be hypervigilant, as if always on the
lookout for danger. PTSD is also
associated with many of the
specific impacts that are listed
above.
Slide 24
VICTIM ISSUES IN
COURTROOM
THE
19
Slide 25
Lecture (1 minute):
Traditionally, the criminal justice
system’s responses to sex crimes have
been primarily offender-focused, with
emphasis placed on the successful
investigation, prosecution, sentencing,
and management of these offenders.
Explicit consideration of – and
responsiveness to – the needs and
interests of victims throughout the
criminal justice process can avoid
inadvertently re-traumatizing the
victims. In response to this need,
jurisdictions have created policies and
practices that are sensitive to the needs
of the victim, such as protocols for
interviewing victims; protocols for
medical examinations; and interviewing
centers, including specific centers
devoted to interviewing children and
other victims of sexual assaults.
Balancing Offender Focus with
Victim Awareness
• System responses that consider
victims as well as offenders
• Policies and practices that are
sensitive to victims’ needs, interests
As criminal justice system actors have
worked to become more sensitive to
these issues, many have sought the
valuable perspectives and insights of
representatives from victim advocacy
and victim service organizations. These
advocates and organizations assist in
the creation of policies, and the
implementation of practices, across the
system that are intended to minimize
the impact of sexual victimization.
20
Slide 26
With respect to the impact of pleabargaining, judges can scrutinize
charge bargaining in these cases, and
work to ensure that pleas that are
accepted are sensitive to the needs of
victims. Many cases involving sex
offenses do not proceed to trial; rather,
they are commonly resolved through
plea negotiations.
Roles for Judges
• Be knowledgeable about rape shield laws
• Know legal status of privileged
communications that occur in the context of
victims’ counseling sessions
• Allow support persons for victims during
court proceedings
• Model appropriate, victim-sensitive conduct
• Inquire of impact of plea agreement on
victims
minutes):
Discuss the following topics:
• When is it appropriate to allow for
victims’ rights advocates in court
proceedings?
• How does the court ensure
appropriate victim-sensitive conduct
by counsel?
Slide 27
(The presenter should ask the judges
who are present about what percentage
of sex offense cases, in their
experiences, get resolved through plea
negotiations, as opposed to going to
trial.)
Roles for Judges (cont.)
• Hold pre-trial conferences, motions, or
evidentiary hearings in a manner that does
not intimidate victims
• Be sensitive to the timing of trials
• Allow flexibility in court scheduling to
accommodate the needs of victims
• Minimize court appearances for victims
• Ensure compliance with victims’ rights
legislation
Judges can play a key role in
addressing victim’s rights while
remaining impartial. For instance, how
does the victim enter the courthouse;
the courtroom – is there a waiting room
available? Are the hearings and trial
scheduled at the time of day to avoid
crowds?
21
Slide 28
Certain aspects of plea concessions,
Alford or nolo contendere/no-contest
pleas must be taken into account in sex
offense cases because of potential
unintended consequences (see, e.g.,
Holmgren, 1999). To illustrate, some
plea agreements may eliminate the sex
offense component of the case (e.g.,
reducing a charge from forcible rape to
aggravated assault), which can
inadvertently imply to the victim that the
offense was less harmful or serious.
And when cases involve multiple
victims, agreeing to drop some of the
charges to a more limited number of
them – in exchange for a guilty plea –
can have the same effect. In addition,
eliminating the sex offense nature of
the crime through plea negotiations can
limit the applicability of common,
specialized sex offender management
strategies, such as offense-specific
treatment and supervision, and sex
offender registration and community
notification laws. Thus, to the extent
possible, plea negotiations should
ensure that the sexually-abusive
aspects of these crimes remain visible.
Plea Bargaining and
Prosecution Practices
• Potential unintended consequences
of plea bargains
• Victim advocates
• Victim impact statements
• Vertical prosecution
• Accurate charges
• Specialized units
In jurisdictions where vertical
prosecution exists, a single prosecutor
follows each sex offense case from the
point of charging through disposition.
Vertical prosecution reduces the
number of individuals to whom the
victim must provide statements;
maintains consistency and continuity of
case processing; promotes prosecutor
familiarity with the victim and the facts
of each case; ensures the preservation
of critical information that can be lost
when cases are transferred; and
establishes victim trust and rapport
(APRI, 2003; Beichner & Spohn, 2005).
Victim advocates are available in most
jurisdictions to provide education,
support, and assistance to victims and
their families. The presenter should
consider including the names of victim
advocacy centers in your jurisdiction
and victims’ rights laws. For an
example of victims’ rights laws, see the
Justice For All Act (H.R. 5107, Public
Law 108-405), including the Crime
Victims’ Rights Act, 18 U.S.C. § 3771.
22
Slide 29
Less than 1 percent of arrests
nationally are for sex offenses (FBI,
2005). When compared to other kinds
of offenses, sex crimes seem to receive
a disproportionally large amount of
attention – from the public, from
legislators and policymakers, and from
criminal justice system actors – relative
to their proportion of crime overall.
What Percentage of All Arrests Are
for Sex Offenses?
A. Less than 1%
B. 1 to 10%
C. Greater than 10%
In some ways, the data used in
research and reports may represent the
tip of an iceberg and the conclusions
should be considered with that in mind.
Slide 30
UNCERTAINTIES IN SEX
OFFENDER DATA
Lecture (1 minute):
This slide introduces some of the areas
of uncertainty and controversy in sex
offender assessment and treatment
data. As an earlier slide mentioned, the
majority of offenses are not reported.
As noted on the slide, the figure is
somewhere between 58% to 84% that
are not. Therefore, the data on the
number of arrests must take this into
consideration. Similarly, the data on
charges and convictions is “muddy.”
The iceberg represents how we have
some information on offending that is
accessible and an unknown amount of
information that is not accessible.
Slide 31
Limitations of Sex Offense Data
● Many offenses not reported
– 58%/84% sex offenses not reported
– 32% robberies not reported
● All reports do not lead to arrest
● All arrests do not lead to charges
● All charges do not lead to convictions
● Convictions on lesser charges may
result from plea agreements
Slide 32
Of those arrested for sex crimes, about
95 percent are males and 5 percent are
females (FBI, 2005).
Arrests for Sex Crimes:
Adult Males vs. Adult Females
Males
Females
(FBI, 2005)
23
Additionally, for years, juveniles who
committed sex offenses were largely
overlooked in the scientific community,
in society in general, and in the justice
system. This was, in part, a reflection of
the belief that deviant or problematic
sexual behavior was a phase out of
which these youth would eventually
grow (see, e.g., Bumby & Talbot,
2007). This has changed significantly in
recent years and sex offenses that are
perpetrated by juveniles now receive a
great deal of attention. Nationally, they
make up about 15 to 20 percent of
arrests for sex offenses (FBI, 2005).
Slide 33
Myth or Fact?
(As a transition to talking specifically
about sex offenders, the presenter
should ask the audience members if
the statement reflects a myth or a fact,
do some brief processing of responses,
and emphasize that the statement is a
myth, using the lecture content and
large group discussion below.)
Individuals can be identified as sex
offenders based on a specific set of
profile characteristics.
One fairly common false assumption
about sex offenders is that they are all
the same – and, unfortunately, the
criminal justice system sometimes
responds in ways that would suggest
that these offenders are a
homogeneous population.
minutes):
(Before showing the next slide, the
presenter should ask the participants to
reflect on their experiences presiding
over sex offense cases, and identify
some ways in which sex offenders
differ from one another. After the
audience members’ responses have
been discussed, the presenter can go
through the variations listed on the
three slides that follow, while reiterating
and emphasizing the diversity of sex
offenders, and the absence of a set of
characteristics which reflects a “profile”
of or a “typical” sex offender.)
Demographically, sex offenders differ
from one another in a wide variety of
ways. There are both older and
younger sex offenders, they can be
male or female, and they are diverse
both culturally and racially. In addition,
their socioeconomic status varies, and
some have high paying jobs while
others are unemployed and have
experienced employment problems
throughout their lives. Some have been
married or have otherwise experienced
relatively stable relationships for years;
others are single and have never been
married.
Slide 34
Sex Offender Demographics
• Variable:
– Culture/race
– Socioeconomic status
– Employment
– Marital status
24
Slide 35
Lecture (1 minute):
There are also significant variations in
the offending behaviors of this
population, including the known age
when these individuals begin
committing these crimes, the
characteristics of their victims, their
motivations, and the presence or
absence of deviant arousal and
interests. The word “known” is used to
emphasize the gap between what we
know about an offender and areas of
uncertainty. Some sex offenders
appear to have well-established
patterns of being particularly interested
in or “turned on” sexually by
inappropriate contacts, and some do
not. Being primarily attracted to or
focused on young children is one key
example, such as those offenders who
are diagnosed with pedophilia.
Because the presence of such arousal
and interests is significantly correlated
with recidivism among adult sex
offenders (Hanson & Morton-Bourgon,
2005), it is a particularly important
consideration in the management
process.
Variations in Offending Behaviors
•
•
•
•
•
•
•
Known age of onset
Known targets (victims)
Known motivations
Deviant arousal, interests (paraphilia)
Known patterns of behavior
Known frequency, duration/course
History of detection
Sex offending behaviors also vary by
known type and pattern, and by
frequency and duration or course.
Some sex offenders perpetrate these
crimes only a few times; others may
engage in chronic abuse patterns.
Some individuals are detected quickly
for committing sex crimes and,
unfortunately, others offend for long
periods of time without being detected.
25
Slide 36
Other ways in which sex offenders
differ from one another – and that are
important considerations in the context
of judicial decision-making – include:
Additional Variations Among
Sex Offenders
•
•
•
•
Recidivism risk
Intervention needs
Amenability to treatment
Response to criminal justice
sanctions
26
• Their recidivism risk: The risk
that sex offenders pose to the
community varies. Some sex
offenders are highly likely to
recidivate, while others are less
so. Offender risk level is a key
consideration for judges at the
point of sentencing. This will be a
topic of discussion in the next
module on assessment.
• Their intervention needs: The
intervention needs of these
offenders also differ. Some sex
offenders need intensive offensespecific treatment while others
may require less intensive
interventions. Many sex
offenders also have other
treatment needs, such as
substance abuse, difficulties
managing anger, and marital
problems. The importance and
controversies of treatment in sex
offense cases – and what is
known about its impact on
recidivism – will be highlighted in
the treatment and supervision
modules.
• Their appearances in court:
These defendants generally
present themselves well, and are
compliant, in court. These
characteristics should not be
construed as indicators with
respect to other conduct by these
offenders.
• Their amenability to treatment:
There are sex offenders who
appear to derive significant
benefits from treatment. Others
are highly resistant to treatment
and do not successfully complete
it.
• Their responses to criminal
justice sanctions: Some sex
offenders are model inmates and
comply with the expectations
associated with probation and
parole. Others, unfortunately,
engage in prison misconduct
and/or violate the terms and
conditions of community
supervision.
Slide 37
Myth or Fact?
As a group, sex offenders have a
very high known recidivism rate.
Slide 38
As a transition to a brief discussion
about sex offender recidivism, the
presenter should ask the audience
processing of responses, and advise
that the statement is a myth. The word
“known” is emphasized because of the
uncertainties in this area. Studies show
that somewhere between 58% and
86% of sex crimes are unreported
(Rand, 2008; Kilpatrick, et al., 2007).
Lecture (2 minute):
One of the major areas of uncertainty in
the field results from variable definitions
of recidivism. This slide offers some of
the ways researchers define recidivism.
Since this is the primary outcome for
treatment studies, the uncertainty in
how we define recidivism adds
uncertainty to the findings of research
studies.
What Does Sex Offender
Recidivism Mean and How Is It
Measured?
•
•
•
•
•
•
•
•
Conviction of new sex offense
Conviction of a new violent offense
Conviction on any new offense
Violation/revocation of probation/parole
Arrest
New criminal charge
Complaint
Self-disclosed event
Once again, an iceberg reminds us that
there is information we do not have
access to regarding sex offender
behaviors.
Most research uses conviction of new
sex offense as the measure of
recidivism. As we saw with the report
data, some offending will not be
detected due to non-reporting, plea
agreements, non-convictions etc. It is
useful to consider the limitations of the
how we measure recidivism when
interpreting treatment studies.
27
Slide 39
Research indicates that known
recidivism rates of sex offenders are
lower than some criminal justice system
actors and members of the general
public believe. Using a statistical
technique called meta-analysis (the
study of studies), researchers examine
the outcomes of multiple studies to
derive recidivism rates (and other riskrelated factors) for sex offenders.
These meta-analyses indicate that sex
offenders have:
Key Recidivism Findings About
Sex Offenders
• Relatively low known sexual
recidivism rates as a group
• Higher rates of known non-sexual
recidivism
• Lower known recidivism rates than
other felony offenders
• Relatively low known sexual
recidivism rates as a group;
• Higher rates of known non-sexual
recidivism; and
• Lower known recidivism rates
than other felony offenders.
In reviewing the contemporary
recidivism data, it is important to note
that these rates are presumed to be
underestimates of the actual reoffending rates because of underreporting (58-86%, as discussed
earlier), as well as under-detection of
these crimes. While recidivism data for
other crimes against persons – such as
robbery and aggravated assault that
were highlighted on a previous slide –
are also subject to under-reporting,
recidivism rates for non-sex crimes are
fairly consistent across studies. In other
words, there is more uncertainty as to
the known recidivism rate for sex
offenders as a group.
Note: In case audience members
request additional information about
meta-analyses, the following is a
definition from Webster’s Online
Dictionary: A meta-analysis is a
statistical procedure to combine a
number of existing studies. Through
such a procedure, effects which are
hard or impossible to discern in the
original studies because of a too small
sample size can be made visible, as
the meta-analysis is – in the ideal case
– equivalent to a single study with the
combined size of all original studies.
28
Slide 40
Known Recidivism Rates for Sex Offenses:
Previous Conviction vs. No Previous Conviction
60%
40%
20%
0%
5 Years
10 Years
No Previous Conviction
15 Years
Previous Conviction
(Harris & Hanson, 2004)
Lecture (1 minute):
As briefly discussed a few minutes ago,
the risk that sex offenders pose to the
community varies. These variations in
risk are influenced by a number of
issues – called risk factors – that will be
discussed in the modules on
assessment and evidence-based
sentencing. Briefly, one example of a
risk factor is prior sex offense history.
Research indicates that sexual reoffending rates are higher for sex
offenders with a previous conviction for
a sex crime than for those with no
previous conviction (Harris & Hanson,
2004).
There are several ways of interpreting
this data:
• Difference in risk to re-offend;
• Difference in ability to avoid
detection; or
• Difference in ability to avoid
conviction for sex offense.
29
Slide 41
Lecture (1 minute):
Because the individuals who commit
sex offenses are a very heterogeneous
population, “one size fits all” or
“standardized” disposition or
sentencing approaches are ineffective
– and do not promote public safety.
Some sex offenders require very
intensive and restrictive responses,
such as incarceration, while others may
be more effectively managed in the
community with less intensive
interventions. When judges capitalize
on their existing discretion and make
individually tailored sentencing and
disposition decisions based on risk and
needs, successful outcomes are more
likely to be achieved, and community
safety can be enhanced.
Implications for Sentencing
• Look for heterogeneity of sex
offenders
• Individualize sentences
– Capitalize upon existing judicial
discretion
– Consider assessment data to inform
decisions
Judges need information about which
offenders are more likely to be
reconvicted and about interventions
and management strategies that may
reduce risk and promote community
safety. The modules on assessment,
evidence-based sentencing, and
treatment and supervision will
summarize this literature and
controversies, and explore implications
for judicial decision-making.
Note: The presenter can refer
participants to the resource documents
on sex offenders and sexual
victimization that are included in the
curriculum materials. Developed by the
Center for Sex Offender Management,
they are entitled, Fact Sheet: What You
Need to Know About Sex Offenders
and The Comprehensive Approach to
Sex Offender Management.
30
Slide 42
To summarize what has been covered
during this module, the incidence of sex
crimes is widespread. In addition, in the
vast majority of cases, sex offenders
and their victims are known to one
another, and sex crimes usually occur
at or near the home of the victim.
Examples of victim sensitivity include
ensuring compliance with victims’ rights
legislation, allowing flexibility in court
scheduling to accommodate the needs
of victims, allowing support persons to
be present for victims during court
proceedings, and working to ensure
that pleas that are accepted are
sensitive to the needs of victims.
Summary
• The incidence of sex crimes is
widespread and sex crimes have a
significant impact on victims.
• Sex offenders usually know their victims
and perpetrate sex crimes in familiar
places.
• Judges need to understand victim issues
and related justice system practices.
Slide 43
Sex offenders are a very
heterogeneous population and there is
no “profile” of a typical sex offender.
Some of the ways in which these
offenders differ from one another
include the risk they pose to the
community, their treatment needs and
their amenability to treatment, and their
responses to criminal justice sanctions.
The research also indicates that, as
group, sex offenders have relatively low
known rates of recidivism. Recidivism is
a challenge to define consistently and
to measure accurately.
Summary (cont.)
• Sex offenders are a diverse population:
– Differ in numerous ways, including known
recidivism risk; and
– Different Diagnoses.
• As a group, sex offenders have relatively
low rates of known recidivism.
• Recidivism is a challenge to define and
measure; research is evolving.
31
B.
MODULE TWO: ASSESSMENT OF SEX OFFENDERS
Quality assessments can provide a sound rationale for judges’ day-to-day
decisions and can increase their confidence in those decisions. The overarching goal of
this session is to emphasize the value of these assessments, through the multiple
learning objectives outlined on this slide.
LEARNING OBJECTIVES
•
•
•
Identify information and assessments that reliably estimate risk posed by sex
offenders;
Describe some of the areas of uncertainty in risk assessment of sex offenders;
and
Describe expected qualifications of professionals who conduct specialized, sex
offender-specific assessments.
•
•
•
Small Group Activity
Large Group Discussion
Summary Exercise
32
minutes):
Before reviewing the learning
objectives for this session, the
presenter should inquire about
assessment-related issues that
participants would like to address
during this component of the
curriculum.
Slide 1
Assessment of
Sex Offenders
Slide 2
(1 minute):
session with the participants.
Learning Objectives
• Identify information and assessments
that reliably estimate risk posed by sex
offenders;
• Describe some of the areas of
uncertainty in risk assessment of sex
offenders; and
(“At the conclusion of this module, the
participants will be able to . . .”).
• Describe expected qualifications of
professionals who conduct specialized,
sex offender-specific assessments.
Lecture (1 minute):
Slide 3
Types of Assessments That Can Inform
Decision-Making
Static and Dynamic Risk Factors
Commonly Accepted Sex Offender-Specific
Risk Assessment Tools
What to Expect in Assessments and From
the Professionals Completing Them
Overview
33
Slide 4
Lecture (1 minute):
The questions on this slide are often
raised by judges and other
stakeholders during the court process
with cases involving sex crimes. At
times, because of the heightened
vigilance, pressures, and impact
associated with sex crimes, some
system actors desire or expect that
specialized assessments or evaluations
can provide answers to these
questions. Assessments are not
designed to answer these questions.
Common Questions Courts Face in
Cases Involving Sex Crimes
• Is this defendant truly a “sex offender”?
• What type of sentence is warranted?
• How can justice and public safety
concerns be reconciled in this case?
• Will this individual re-offend?
The first question can only be
answered by the trier(s)-of-fact by
examining the evidence in the case,
within the context of state statutes or
criminal codes. It is not appropriate for
assessors or evaluators to offer
opinions to the court about whether a
given individual is – or is not – a sex
offender.
The answer to the second question
depends upon established statutes,
which may include minimum mandatory
sentences, a range of sentence
lengths, and/or the potential for
departures or discretion in determining
the length of the sentence.
The third question is considered within
the context of the state’s emphases on
retribution, deterrence, incapacitation,
and/or rehabilitation.
The fourth question cannot be
answered definitively by any
professional, including a specialized
evaluator. There is no assessment or
set of assessments that can provide
absolutes about re-offending. Sound
assessments can identify fairly reliably
which sex offenders are at a higher or
lower risk to re-offend than others, but
cannot determine if or when an
individual will commit a new sex
offense or other crime. In other words,
these tools can help judges and others
with placing sex offenders into relative
categories of risk (e.g., low, moderate,
high).
34
Slide 5
In contrast to the questions on the
previous slide, answers to the
questions listed here generally can be
inferred on a case-by-case basis
through specialized assessments.
Questions Addressed through
Post-Conviction Assessments
• What level of relative risk does this
individual pose?
• What factors indicate that this person is a
greater (or lesser) risk to recidivate?
• Which strategies may be effective for this
individual?
• Is this person likely to be amenable to
strategies the court may utilize to positively
affect risk reduction/management?
Perhaps one of the most common
questions that sentencing judges have
is the extent to which a given sex
offender poses a risk to the community.
Because the research shows that many
sex offenders are more likely to
recidivate with non-sex crimes, it is
important for judges to understand the
offender’s risk to recidivate not only in
terms of new sex crimes, but also with
respect to other violent or non-sex
crimes – and the risk factors that affect
the offender’s risk to re-offend.
When research-supported risk
assessments are used, assessors can
identify fairly reliable estimates of the
relative level of risk to re-offend.
To make informed sentencing
decisions, judges also need to know
what types of strategies are needed for
risk reduction or risk management in
any given case, and whether the
offender is amenable to these
strategies or has a history of failing to
respond to such strategies in the past.
Comprehensive evaluations that meet
high quality standards can provide
judges with information about those
needs.
Ultimately, understanding sex
offenders’ level of risk and specific
intervention needs can assist judges
with considering whether potential
alternatives to incarceration would be
appropriate.
Judges should remember that, for
these purposes, assessments are most
appropriately conducted and most
beneficial post-conviction as they are
designed primarily to offer information
and recommendations that are relevant
for sentencing and other disposition
decisions.
35
Slide 6
TYPES OF ASSESSMENTS THAT CAN
INFORM DECISION-MAKING
36
Slide 7
Lecture (1 minute):
Key Assessments
The primary types of assessments that
can benefit judges as they explore
sentencing decisions are risk
assessments, pre-sentence
investigations, and psychosexual
evaluations. The information from these
assessments is also vital for informing
decisions for other professionals
involved in sex offender management
efforts after sentencing, such as
treatment providers, probation and
parole officers, case managers and
other practitioners in the prisons, and
paroling or releasing authorities.
• Risk assessments
– General and sex offender-specific
• Pre-sentence investigations
• Psychosexual evaluations
Note: In some states or jurisdictions,
one or more of these assessments may
be mandated or routinely ordered for all
cases involving sex crimes. The
presenter should be familiar with any
such policy requirements for the
state/jurisdiction in which the curriculum
is being delivered. In addition, it may be
helpful for the presenter to highlight
such policies and practices from other
states.
Large Group Discussion (5 minutes):
The presenter can engage the judicial
participants in a brief dialogue about
the use of these assessments in their
courts, using the following questions as
a guide:
• To what extent are these types of
assessments available to you at
the time of sentencing in sex
offense cases?
• To what extent do these
assessments provide helpful
information with respect to your
considerations for sentencing in
sex offense cases? What specific
information is most beneficial to
you?
• What, if any, assessment data
would assist you with decisionmaking in sex offense cases but
is currently not included in the
assessments you receive?
37
Slide 8
Assessments are a valuable resource
for assisting judges and other
stakeholders in their decision-making.
The value depends on several factors.
Important Assessment
Considerations
• Objectives
• Timing
• Method, approach
• Evaluator expertise
First, the objectives must be clear, such
as whether the information is designed
to provide an estimate of a sex
offender’s recidivism risk, specific risk
factors, intervention needs, and/or level
of functioning for the purposes of
sentencing, case management,
treatment planning, or community
supervision. The assessment
objectives should not include
determining whether a person is or is
not guilty of the offense for which s/he
is charged or determining whether or
not the person will or will not recidivate.
• Information access and sharing
Second, the timing is important. For the
courts, assessments are best ordered
and conducted prior to sentencing,
following the adjudication finding.
Conducting assessments prior to
adjudication likely results in limited
information, as the defendant may be
less likely to discuss openly the kinds of
information necessary to identify risk
and intervention needs (e.g., deviant
sexual fantasies, previously undetected
sexual behavior problems) – either on
advice of counsel or because of his or
her own concerns about selfincrimination.
Third, assessments are only as good
as the approach that is used to conduct
these assessments, namely the most
appropriate, reliable, and valid types of
instruments. Similarly, the expertise
and skills of the evaluator are vital.
Finally, information-sharing is
important. The more information that is
available for professionals, the better.
And when assessment data such as
recidivism risk and intervention needs
is shared across disciplines, all
decisions are better informed.
38
Slide 9
Assessments are most reliable and
valid when multiple sources of
information are used. Collecting
information from sex offenders
themselves is important, but self-report
alone is not sufficient. Depending upon
the purpose of the assessment,
interviews with others involved in the
offender’s life can provide valuable
information.
Sources of Information
for Assessments
•
•
•
•
•
•
Offender interviews
Collateral interviews
Official records
General psychological measures
Sex offender-specific measures
Empirically supported risk assessment
tools
Reviewing various official records is
essential, as they provide formal
documentation of numerous variables.
Such records include, but are not
limited to, police reports, rap sheets,
victim statements, arrest records and
other criminal history documents, and
prior treatment records.
Also beneficial for planning is the use
or review of psychological testing,
which provides information about
intellectual and cognitive functioning,
aptitude, personality, and overall
mental health.
Tools and instruments designed to
assess sexual arousal, interests,
attitudes, behaviors, and functioning
are key sources of assessment data.
These may include physiological tools
such as the penile plethysmograph
[pluh-thiz-muh-graf] (which measures
physical arousal to various stimuli, both
appropriate and deviant) or objective
viewing time measures (which measure
sexual interests). Research on data
from polygraph interviews will follow.
These psychological and sex offenderspecific measures provide important
data about specific issues that need to
be addressed in supervision or
treatment strategies, including factors
such as learning style, motivation,
denial, or level of functioning – when
working with the offender. Finally,
research-supported risk assessment
tools offer an objective and fairly
reliable means of estimating the relative
level of risk to re-offend with sexual
and/or non-sexual crimes.
39
Slide 10
As noted previously, one of the most
common questions that sentencing
judges have is “How likely is this
individual to commit another sex
crime?” Understanding a person’s risk
to re-offend is obviously important not
only for judges, but also for others who
play a role in managing sex offenders.
Identifying Higher vs.
Lower Risk Offenders
• Professional judgment
• Research-supported risk assessment
tools
– General offenders
– Sex offenders
For many years, it was common for
evaluators to estimate risk by using
their professional judgment, such as
their clinical experience in the field and
their independent assumptions and
beliefs about what makes a person
more apt to re-offend. Using this
approach, two different evaluators
assessing the same offender could
conceivably reach different conclusions
about that offender, because their
decisions are subjective. In other
words, the issues that one evaluator
thinks are important risk factors may be
different from – or carry more weight
than – the factors considered to be
important by the other evaluator. Some
of those factors may in fact be related
to recidivism risk, whereas others may
not be related to risk.
The more contemporary practice is to
use structured risk assessment tools.
These tools are based on years of
research and are comprised of the
factors known to be linked to
recidivism. Using these measures
(often referred to as actuarials)
provides a much more structured,
objective, and consistent way of placing
offenders into categories of risk, such
as low, moderate, or high risk.
Many research-supported tools exist for
assessing risk among “general”
offender populations, and there are
also a number of similar tools to assess
risk with sex offenders specifically.
These sex offender-specific measures
were developed because of the
recognition (and supporting research)
that sex offenders have some unique
risk factors that relate to their likelihood
of re-offending, and those factors were
not captured in the tools for “general”
offenders.
40
Slide 11
Predictive Accuracy of Risk Assessment
Strategies with Sex Offenders
Greater
Accuracy
1.0
.70
0.8
0.6
.42
0.4
Less
Accuracy
0.2
0.0
Professional
Judgment
Empirical
Actuarial
(Andrews & Bonta, 2007; Grove, et al., 2000; Hanson & Morton-Bourgon, 2007)
Actuarial risk assessment tools are the
culmination of many years of research
exploring the specific combinations of
risk factors that can lead to the best
estimates of risk to re-offend. Because
these measures are grounded in
research, and because the scoring
methods are designed to provide
structure, consistency, and objectivity
for the process, actuarial risk
assessments tend to be more accurate
than professionals’ subjective
impressions about offenders’ risk. This
is the case for actuarial risk
assessment tools for “general”
offenders as well as measures
designed for sex offenders specifically
(Andrews & Bonta, 2007; Grove et al.,
2000; Hanson & Morton-Bourgon,
2007).
Risk assessment is not a perfect
science, however. Even when using
research-supported tools, it is not
possible to identify with 100 percent
accuracy whether a specific offender
will – or will not – re-offend. But these
tools are fairly reliable for differentiating
higher from lower risk sex offenders,
and they offer a better alternative than
instinct or intuition alone.
Therefore, when judges consider an
evaluator’s findings regarding a sex
offender’s level of risk to re-offend, it is
important for them to be aware of the
risk assessment method used to make
this determination.
Slide 12
STATIC AND DYNAMIC
RISK FACTORS
41
Researchers in the field of corrections,
including sex offender management,
have found that there are two
categories of risk factors that affect an
individual’s recidivism risk: static and
dynamic variables (Andrews & Bonta,
2007; Hanson & Morton-Bourgon,
2005, 2007). For the most part, static
variables tend not to change over time,
whereas dynamic factors can fluctuate.
Specific examples of these static and
dynamic risk factors for sex offenders
will be discussed in the slides that
follow.
Slide 13
Two Categories of Risk Factors
• Static:
generally unchangeable
• Dynamic:
variable over time
Risk assessments based on static risk
factors are helpful in providing
estimates of risk over the long-term
(e.g., 5, 10, 15 years), and are often
used to inform decisions at key points
in the system, such as sentencing,
parole, or sex offender registration and
community notification.
Assessments that explore dynamic risk
factors provide helpful information
about shorter term risk, which can
rapidly fluctuate because of changes
that arise in an offender’s individual
internal or external circumstances or
actions (e.g., access to victims,
substance abuse), or that change more
slowly over time through the course of
intervention (e.g., developing healthy
relationships). Therefore, initial and
ongoing assessments of dynamic risk
factors are useful for guiding ongoing
offender management efforts such as
community supervision and treatment.
minutes):
The presenter should take this
opportunity to allow participants to
brainstorm a list of risk factors that they
believe are linked to recidivism among
sex offenders, and record the
responses on a dry erase board. These
responses can then be compared and
contrasted with the variables identified
through the research on sex offenders,
as well as those factors commonly
believed to be associated with
recidivism but not supported by the
current research.
42
Slide 14
For sex offenders, several unique static
risk factors have been identified in the
research (Hanson & Bussiere, 1998;
Hanson & Morton-Bourgon, 2005,
2007). For example:
Examples of Static Risk Factors for
Sex Offenders
Prior sex offenses
Prior non-sex offenses
Unrelated victims
Stranger victims
Young male victims
Deviant sexual
arousal, interests,
preferences
• Persons with a prior record of sex
offenses are more likely to reoffend than those with no prior
history.
• Sex offenders with prior
convictions in general, not just
sex crimes, tend to have a higher
potential to recidivate.
• Recidivism risk is greater for sex
offenders who commit sex crimes
against non-family members,
victims who are not known to
them, or victims that are young
males (e.g., male children or
adolescents).
• When an offender is assessed as
having recurring interests,
arousal, or preferences that
involve sexual deviance (e.g.,
sexual interest or urges about
children, interest or arousal to the
use of non-consenting force or
violence), recidivism risk is
increased.
43
Slide 15
Examples of Dynamic Risk Factors
for Sex Offenders
Sexual preoccupations
Access to victims
Intimacy deficits, conflicts
in relationships
Pro-offending attitudes
Hostility
Non-compliance with
supervision, treatment
Lifestyle instability
Researchers have identified several
dynamic risk factors associated with
recidivism among sex offenders. Some
of these risk factors are unique to sex
offenders, whereas others are linked to
recidivism for sex offenders and nonsex offenders alike (Andrews & Bonta,
2007; Hanson & Bussiere, 1998;
Hanson & Morton-Bourgon, 2005,
2007).
• Sex offenders are at increased
risk when they engage in
excessive or compulsive sexual
behaviors or otherwise fail to
manage their sexual urges (e.g.,
accessing sexually explicit
materials, using prostitutes,
frequenting sexually-oriented
adult establishments).
• Risk to re-offend is greater when
sex offenders take steps to
increase their access to victims or
potential victims, such as seeking
opportunities to have contact with
children or other vulnerable
individuals.
• Having difficulties with
establishing or maintaining
intimate relationships, and/or
having conflicts in intimate
relationships, is linked to
increased recidivism among sex
offenders.
• Sex offenders who have attitudes
and values that support or
condone crime pose a greater risk
for recidivism.
• Hostility and pervasive anger also
contribute to recidivism among
sex offenders.
• When sex offenders fail to comply
with supervision or treatment
expectations, their risk to reoffend is greater than for hose
who adhere to such expectations.
• Recidivism risk increases for sex
offenders who show problems
maintaining a stable, pro-social
lifestyle (e.g., abusing alcohol or
drugs, behaving impulsively,
having unstable employment or
housing).
44
Lecture (1 minute):
Assessing sex offenders’ risk for
recidivism requires consideration of
both static and dynamic factors,
although static factors tend to be more
reliable. Taking into account both types
of risk factors on a case-by-case basis
may result in a more comprehensive,
thorough, and accurate estimate of a
given sex offender’s overall level of
risk. This allows for more informed
decision-making at the point of
sentencing, and ensures that other
professionals are well informed and
better able to make individualized and
effective case management decisions
after sentencing.
Slide 16
Static
Factors
Dynamic
Factors
Overall
Level of
Risk
45
Slide 17
Some variables that are presumed to
increase sex offenders’ recidivism risk
are not actually demonstrated by
research to be significantly correlated
with recidivism (Hanson & MortonBourgon, 2005).
Variables Not Linked to Sex
Offenders’ Recidivism
• Maltreatment history
• Emotional/psychological difficulties
• Poor clinical presentation
(Hanson & Morton-Bourgon, 2005)
Maltreatment – whether physical,
sexual, or emotional – is known to
increase the potential that individuals in
the general population may experience
difficulties both in the short- and longterm (e.g., depression, anxiety,
relationship problems, substance
abuse). But in terms of recidivism,
convicted sex offenders subjected to
maltreatment during childhood are not
significantly more likely to recidivate
than those without those adverse
developmental experiences. In other
words, while maltreatment may
increase the potential for adjustment
difficulties, it does not cause people to
engage in sexually abusive behavior,
nor is it linked to greater recidivism
potential among known sex offenders.
General mental health concerns, such
as depression or anxiety, are not
correlated with recidivism among sex
offenders, either. They are important to
address during the course of treatment,
as typically relate to overall stability and
adjustment but, in and of themselves,
they do not predict recidivism.
Research does not indicate that factors
such as denial, remorse, or victim
empathy are directly linked to reoffending. Denial does pose a
challenge to treatment providers,
supervision officers, and others
involved in sex offender management
as it can prevent offenders from fully
engaging in treatment efforts.
The fact that these variables are not
linked to re-offending among sex
offenders does not mean that they are
irrelevant or unimportant, however.
Judges oftentimes need to take factors
such as denial and remorse into
account when considering sentencing
decisions, as they may relate to other
goals of sentencing.
46
Small Group Activity (10-15
minutes):
Invite participants to pair with a
partner. Using the case studies that
they received, each pair should identify
the research-supported risk factors
present in those cases. Then have the
pairs compare and contrast, in the
larger group, the risk factors they
identified.
Slide 18
Key Risk Factors in
Case Studies
Examples of the key risk factors that
should be discussed by participants
include the relationship between the
offenders and the victims (e.g.,
unrelated victims in the cases of John
A. Doe and John C. Doe), the presence
of deviant sexual interests (e.g.,
suggested for John A. Doe and John B.
Doe), prior criminal history (e.g., most
notably with John C. Doe), lifestyle
instability and substance abuse (for
John C. Doe), and intimacy deficits
(John C. Doe). Some participants may
raise questions about the extent to
which the offenders in these cases
accepted responsibility for their
behaviors and/or demonstrated
remorse or empathy for the victims
(particularly for John B. Doe). Should
this occur, participants should be
reminded that those specific factors are
not directly linked to recidivism. Such
issues may be of interest to judges
when considering cases, but the
research does not indicate that these
factors increase risk for re-offending.
The presenter should remind
participants that the purpose of this
exercise is not to attempt to assign risk
levels to these offenders; rather, it is
designed to promote awareness and
recognition of specific risk factors that
are – and are not – associated with
recidivism risk among sex offenders.
Finally, the presenter should conclude
the group activity by emphasizing that
risk assessment is most accurate when
practitioners use research-supported
tools designed specifically for sex
offenders, as these tools provide a
structured, consistent, and more
objective way of identifying relevant risk
factors.
47
minutes):
Invite participants to suggest whether
the factors listed would be considered
static or dynamic risk factors (or
neither):
Slide 19
Static vs. Dynamic Risk Factors
•
•
•
•
•
•
Previous conviction for sex offense
Desert Storm veteran
Methamphetamine user
Incest-only offense
Clinically depressed offender
Victim needs therapy for PTSD
• Previous conviction for sex
offense: static risk factor
• Desert Storm veteran:
neither/not applicable;
• Methamphetamine user:
dynamic risk factor (unstable
lifestyle);
• Incest-only offense: protective
(“no unrelated victims”).
Offending with a family member
only predicts less re-offending
than with a non-family member,
acquaintance, or stranger. It is a
static factor in that the incest
offense will never go away but
the term static isn't quite
accurate since a person could
go on to offend against nonfamily members and then score
on assessments as higher risk;
• Clinically depressed offender:
neither/not applicable; and
• Victim-needs therapy for PTSD:
neither/not applicable.
Slide 20
COMMONLY ACCEPTED SEX
OFFENDER-SPECIFIC RISK
ASSESSMENT TOOLS
48
Lecture (1 minute):
Based on the risk factors linked to
recidivism among sex offenders,
researchers have developed several
sex offender-specific risk assessment
tools. The tools listed on this slide are
examples of the most commonly used
risk assessment instruments in the
field. (The presenter should be aware
of any risk assessment tools used or
under consideration by stakeholders in
the jurisdiction in which the curriculum
is being provided.)
Slide 21
• Minnesota Sex Offender Screening Tool -
Revised (MnSOST-R)
• Rapid Risk Assessment for Sexual
Offense Recidivism (RRASOR)
• Sex Offender Risk Appraisal Guide
(SORAG)
Some of these risk assessment tools
focus primarily on static variables,
others are used to assess dynamic
variables, and some include both static
and dynamic risk factors.
49
• The Minnesota Sex Offender
Screening Tool-Revised
(“MnSOST-R”) (Epperson et al.,
1998) was designed to assess
risk with incarcerated sex
offenders. Both static and
dynamic risk factors are
included in this instrument.
• The Rapid Risk Assessment of
Sexual Offense Recidivism
(“RRASOR”) (Hanson, 1997) is
one of the first researchsupported sex offender-specific
instruments. The four items on
the RRASOR static risk
assessment are:
• The number of prior sex
offenses (charges,
convictions);
• The offender’s current age
(whether he is young);
• The gender of the offender’s
victims (whether there were
any male victims); and
• The offender’s familial
relationship, if any, to the
victim (whether there were
any unrelated victims).
The RRASOR assessment
yields a score ranging from 0 to
5. The corresponding recidivism
rates, over a 10-year window of
opportunity, range from 6.5 to
73.1%.
• The Sex Offender Risk
Appraisal Guide (“SORAG”)
(Quinsey et al., 1998) also takes
into account both static and
dynamic risk factors.
Slide 22
Risk Assessment Tools (cont.)
• The STABLE- and ACUTE-2007
(Hanson et al., 2007) were
developed primarily for
supervision officers to assess
dynamic risk factors with sex
offenders.
• The STATIC-99 and STATIC2002 (Hanson & Thornton,
1999, 2003). The STATIC-99 is
the most widely used risk
assessment instrument for sex
offenders. The STATIC-2002 is
a modified/revised version of
this tool. Both tools are
comprised of static risk factors.
• The Vermont Assessment of
Sex Offender Risk (“VASOR”)
(McGrath & Hoke, 2001)
includes both static and
dynamic items.
• STABLE- and ACUTE-2007
• STATIC-99, STATIC-2002
• Vermont Assessment of Sex Offender Risk
(VASOR)
• SVR-20
Generally speaking, when assessments
or evaluations include one or more of
these tools, judges can have a greater
degree of confidence in the findings.
This is, of course, contingent upon the
assessor’s training and expertise using
these tools. Sometimes, evaluators
may use tools that are not researchsupported, or that are not designed
specifically to provide information about
sex offenders’ risk, to base their
decisions about risk. Or they may use
the “right” tools, but not use them
correctly (e.g., incorrectly stating
definitely that the tool indicates that a
given sex offender will or will not reoffend). One of the goals of this
curriculum is to help judges become
informed consumers about these kinds
of assessments, so that they do not
automatically assume that what the
evaluator says is always correct.
50
Slide 23
Lecture (1 minute):
One tool, the Static-99, is brief enough
to allow a demonstration. The items
scored in a Static-99 assessment are
listed on this slide; interpretation of the
scores is on the next slide. The manual
for using the Static-99 is available
online as a PDF file at
http://www.static99.org/.
Sample Assessment: Static-99
1. Age (25 is cut-off)
2. Relationship > 2 years
3. Non-sexual violence with index event
4. Any prior non-sexual violence
5. Prior sex offense convictions (1, 2-3, 4+)
6. Prior sentencing dates
7. Non-contact convictions
8.-10. Unrelated, stranger, or male victims
The assessment is only valid for adult
men.
Slide 24
Lecture (1 minute):
Here is how the Static-99 helps us
estimate an individual’s recidivism risk.
An offender’s score places him in a
group of adult men with the same
score. In that group, historically, a
certain percentage of individuals have
re-offended.
Sexual Reconviction by Static-99
Score (%): Group Estimates
60
50
40
30
20
10
0
0
1
5 Years
2
3
10 Years
4
5
6+
15 Years
As an example, Stan is a 22-year-old
man with no stable relationships; no
sexual violence with the subject
offense; no prior non-sexual violence;
less than four prior sentencing dates;
no prior sex convictions; two nonsexual assault convictions; and a
known, but unrelated, male victim.
Slide 25
Stan
1. Age: 22
2. No stable relationships
3. No sexual violence with offense
4. No prior non-sexual violence
5. No prior sex convictions
6. Prior sentencing dates: (less than four)
7. Two non-sexual assault convictions
8.-10. Known, but unrelated, male victim
His Static-99 score would be 5, and his
relative risk of reconviction for a sex
offense in the next five years is around
32-34% for men in that group.
There are no scientifically validated
methods to determine if this man will be
among the 34% who are reconvicted or
the 66% who are not. The authors of
the Static-99 classify offenders as low,
med-low, med-high, and high risk
according to scores.
Note: This tool, or any other
assessment tool, requires specialized
training.
51
Slide 26
Additional Tools
• Polygraph
• Viewing Time Measures (e.g., Abel
Assessment for Sexual Interest (AASI-2))
• Plethysmography
Slide 27
Polygraph
Lecture (1 minute):
Some assessments use physiologic
measures of interest or arousal.
Polygraphs may elicit information the
offender did not disclose previously and
allow for more valid risk assessment.
Published research in the next three
slides gives an example of the
variability in offender self report in
different situations. Polygraph data is
useful in community treatment and
monitoring.
Lecture (1 minute):
Polygraphs are widely used in
assessment because they often
increase the amount and validity of
information disclosed by sex offenders.
For example, in April 2009, Great
Britain started requiring polygraphs for
all sex offenders in the Midlands area
who are supervised in the community.
The requirement began after eight out
of ten sex offenders in a pilot program
admitted that prior to a polygraph they
had mislead their probation officers.
Polygraph reports have utility after
conviction. They can help assessment
by providing a more complete database
about the number and types of sex
offenses; they can be used to monitor
behavior for treatment (by helping
patients identify behaviors that might
lead to re-offending) and for
supervision in the community.
Slide 28
Lecture (1 minute):
A research group out of Colorado
Springs studied reports of offense
histories in two groups of male sex
offenders by comparing the presentence investigations with later
polygraph reports.
Polygraphs: Compare Admissions
Medium Number of Victims/Offenses Reported
Pre-Sentence
Report
Sexual History
Disclosure Form
2 victims/5 offenses
First Polygraph
Second Polygraph 11 victims/23 offenses
Similarly, the reported age of the first offense
dropped from 28 to 12 from PSIs to polygraphs.
(Ahlmeyer, et al., 2000)
52
The subjects who were incarcerated
had dramatic increases in the number
of admitted victims.
Slide 29
Polygraph: Compare
Victim Reports
Type of Crossover
Court
Adult & Child Victims
7%
Polygraph
70%
Male & Female Victims
9%
36%
223 Sex Offenders Participating in SOTMP TC at the
Colorado Department of Corrections
(Heil, Ahlmeyer, Simons, 2003)
Slide 30
Lecture (1 minute):
The same research group compared
reports from criminal histories and self
reports with polygraphs as to the types
of victims. The polygraph reports
revealed a greater degree of “crossover” between types of victims. Crossover was noted to increase in
polygraph reports with regard to gender
(male and female victims), relationship
(relatives and non-relatives), and age
(adult and child victims).
Another physiologic assessment tool is
plethysmography [pleth-iz-mog-ruhfee]. This tool measures physical
arousal to sexual stimuli (sounds and
images) by measuring penile erection
with a strain gauge.
Plethysmography
• Instrument to assess sexual arousal
• Arousal does not mean offender
• Ability to manage arousal may decrease
recidivism risk
Sexual arousal in response to sexual
stimuli involving deviance (child, force,
etc.) does NOT mean the person is an
offender. Most people do not admit to
this type of arousal because it is usually
not socially desirable.
Some treatment programs measure the
offender’s ability to manage the arousal
response following treatment. If this is
true, then deviant arousal will be a
dynamic factor rather than a static one.
The inability to manage the arousal
response may be a risk factor for
recidivism. The goal of intervention is to
assist offenders with learning how to
MANAGE their arousal, not necessarily
simply suppress it. This tool is used to
provide an objective measure of
deviant (and non-deviant arousal) and
to gauge treatment progress (e.g., the
extent to which an offender's arousal
has changed or is effectively managed
by the offender).
53
Slide 31
Abel Assessment for
Sexual Interest TM
• Assesses sexual interests via relative time
spent viewing different visual stimuli
• Some research: can discriminate between
offenders and non-offenders
• Undermined by websites that disclose the
basis of the test
Lecture (1 minute):
Abel assessments (AASI 1 and 2) are
used to measure a person's sexual
interest and assess sexual behavior
problems. The assessment measures
the amount of time a person spends
looking at a slide and later asks the
person to rate a response to the slide.
The viewing time procedures are
designed to provide an objective
measure of sexual interests by
assessing the relative amount of time
an individual spends viewing nonsexual images of persons of different
ages and both genders.
The Abel screen has been undermined
by websites that describe how it works.
If a person knows the underlying
rationale for the test, it may be easy to
create invalid test results.
54
Slide 32
Because research shows that sex
offenders are more likely to recidivate
with non-sexual crimes than with new
sex crimes, assessing their risk for
other violent or non-sexual recidivism is
important. The tools listed on this slide
provide fairly reliable estimates of risk
for “general” offender populations and
can also be used to assess non-sexual
or violent recidivism with sex offenders.
As is true with assessing risk for sexual
recidivism, sometimes, practitioners
may try to create a tool based on their
own ideas about what should be
included in such a tool, or they may use
a tool that someone else has created
that has not been sufficiently
researched to determine its reliability
and validity. Judges should, therefore,
view risk assessment findings with
caution in those instances.
Commonly Accepted General Risk
Assessment Tools
• Level of Service Inventory-Revised (LSI-R)
• Violence Risk Appraisal Guide (VRAG)
• Statistical Information on Recidivism (SIR)
• Wisconsin Risk and Needs
• Correctional Offender Management Profiling for
Alternative Sanctions (COMPAS)
• Psychopathy Checklist (PCL-R)
Keep in mind that when practitioners
use risk assessment tools designed
solely to estimate risk of non-sexual
recidivism, those measures will provide
only a partial understanding of sex
offenders’ level of risk. Supplementing
these tools with research supported sex
offender-specific tools results in a more
comprehensive and reliable estimate of
risk.
Judges and others are better
equipped to make informed
decisions in sex offense cases when
both sexual and non-sexual risk is
assessed.
55
In addition to risk assessments, presentence investigations are a key
source of assessment information to
assist judges with sentencing decisions
in sex offense cases. The items listed
on this slide and the next summarize
the various elements that should be
included in comprehensive presentence investigations involving sex
offenders (Cumming & McGrath, 2005).
Slide 33
Pre-Sentence Investigations
• Index offense
• Prior criminal history
• Social supports
• Health, mental health
• Employment, financial, residential stability
Because some of the risk factors for
sex offenders are unique to that
general population, the value of presentence investigations with sex
offenders can be enhanced by the use
of sex offender-specific risk
assessment tool(s) and findings from
psychosexual evaluations. The scope
of the pre-sentence investigation
requires the use of multiple data
sources (e.g., interviews with offenders
and collaterals, police reports, victim
statements, other record reviews, risk
assessments, psychosexual
evaluations). This highlights the
importance of specialized training for
the practitioners who conduct these
investigations, as well as the need for
collaboration and information-sharing in
order to gather and use this information
effectively.
In some jurisdictions, pre-sentence
investigations are mandated or ordered
for all cases involving sex crimes to
ensure that judges and other
stakeholders have access to the most
comprehensive and specialized
information about each sex offender to
guide sentencing and post-sentencing
case management decisions.
Slide 34
Pre-Sentence Investigations (cont.)
• Victim impact
• Aggravating, mitigating circumstances
• Findings from psychosexual evaluations
• Recommended criminal justice
interventions
56
Slide 35
The remaining type of assessment
covered in this session is the
psychosexual evaluation. Briefly, a
psychosexual examination is a multihour assessment of an offender’s
personal and sexual history; risk factors
for offending; and arousal patterns as
determined by clinical interview and
standardized measures. (See Slide 38
for a more thorough description.) Like
pre-sentence investigations, wellconducted psychosexual evaluations
can be extremely valuable for
promoting informed decisions for
judges and other stakeholders.
Commonalities Between General
Psychological and Sex
Offender-Specific Evaluations
• Intellectual, cognitive functioning
• Personality, psychopathology, diagnosis
• Interpersonal, social history
• Developmental, family history
• Risk of harm to self, others
minutes)
Ask participants to list ways in which
psychosexual evaluations are similar to
and different from general
psychological evaluations. The
presenter should then explain that
psychosexual evaluations and more
general psychological evaluations
conducted for the courts share a
number of common elements, as
outlined in this slide.
Note: The purpose of this slide is to
prevent participants from inferring that
psychosexual and psychological
evaluations are mutually exclusive from
one another and assuming that
psychosexual evaluations must be
ordered in addition to general
psychological evaluations. Such a
practice can result in unnecessary
duplication of efforts and depletion of
resources. At the same time, the
presenter should ensure that
psychosexual and general
psychological evaluations are not
viewed as interchangeable. Rather, the
common elements highlight an
important – but incomplete – foundation
for sex offender-specific evaluations.
The additional information to be
included in a psychosexual evaluation
is discussed in the slide that follows.
57
Slide 36
WHAT TO EXPECT IN ASSESSMENTS
AND FROM THE PROFESSIONALS
CONDUCTING THEM
58
Slide 37
The elements listed on this slide
demonstrate the expanded scope of
psychosexual evaluations, beyond what
is included in more general
psychological evaluations. This
information should be gathered using
multiple methods, including clinical
interviews, record reviews, and the use
of specialized assessment measures
and techniques.
Expanded Content Important
for Psychosexual Evaluations
• Sexual development, attitudes,
behaviors, adjustment
• Sexual interests, arousal, preferences
• Sexual, violent recidivism risk
Evaluators should explore the
individual’s sexual development,
including early sexual experiences, age
appropriate and consenting sexual
behaviors, sexual functioning (and/or
sexual dysfunction), and any
problematic or sexually abusive
patterns.
Sexual interests, arousal, and
preferences must be explored. This
includes the extent to which the
individual has interests in and arousal
to age-appropriate sexual partners and
behaviors, as well as fantasies, urges,
and interests that are unhealthy or
otherwise inappropriate or deviant (e.g.,
sexual attraction to children, arousal to
violent or forcible sexual behavior
involving non-consenting partners).
Finally, to be thorough, psychosexual
evaluations must include risk
assessment findings, taking into
account both sexual and non-sexual
recidivism risk.
Note: The presenter should draw
participants’ attention to the pitfalls that
could be associated with evaluators’
attempts to explore this type of
information prior to conviction (i.e., the
defendant may not disclose
incriminating information about the
current charge or charges, or other
undetected or unreported problem
behaviors with the same or other
victims that could then be subject to
additional charges and prosecution),
and emphasize that the purpose of
psychosexual evaluations is to identify
recidivism risk and intervention needs
(i.e., to assist with sentencing and postdisposition decisions).
59
Formats of psychosexual evaluations
vary from jurisdiction to jurisdiction and
from evaluator to evaluator. However,
this slide outlines the primary sections
and content that judges should
reasonably expect from a
comprehensive psychosexual
evaluation.
Slide 38
PSYCHOSEXUAL EVALUATION
I.
Identifying
. information
II.
Referral source and question
III. Informed consent
IV. Records review
V. List of assessment tools and
strategies used (including
offender interview)
VI. Background information,
psychosocial history, employment
VII. Criminal history, responses to
interventions
VIII.Sexual history
IX. Interpretations of assessment
data, case formulation (including
diagnosis, summary of
intervention needs)
X. Recommendations
60
A clinician must have appropriate
education and training to conduct a
psychological evaluation (e.g., a
licensed psychologist with training in
using and applying assessments).
Conducting psychosexual evaluations
requires advanced education, training,
and experience.
Slide 39
Assessing Evaluators’ Expertise
●
Relevant advanced degree
●
Forensic training, experience
●
Specialized training, clinical
supervision
●
Licensure, professional affiliations
●
Continuing education
This list provides an overview of criteria
that are commonly used to consider the
level of expertise and qualifications of
sex offender-specific evaluators (ATSA,
2005).
61
• A graduate clinical degree (e.g.,
generally in clinical psychology);
• Training and experience in
forensic clinical practice (e.g.,
the specialized application of
psychology in the legal and
criminal justice context,
including forensic
assessments);
• Further specialization and
supervised experience in the
assessment and treatment of
sex offenders;
• A current license to practice in a
relevant field (e.g., psychology),
including adherence to
applicable professional
standards and codes of ethics.
These may include, but are not
limited to, the Practice
Standards and Guidelines for
the Evaluation, Treatment, and
Management of Adult Male
Sexual Abusers (ATSA, 2005)
and the Specialty Guidelines for
Forensic Psychology
(Committee on Ethical
Guidelines for Forensic
Psychologists, 1991);
• Professional affiliations related
to practice in forensic practice
and sex offender management
(e.g., American Academy of
Forensic Psychology, American
Psychology-Law Society of the
American Psychological
Association, Association for the
Treatment of Sexual Abusers);
and
• Evidence of ongoing
professional development and
continuing education in the
relevant profession, and specific
to sex offender management.
Note: Some states (e.g., Colorado,
Illinois, New Mexico) have adopted
formal standards, guidelines, and
certification processes to promote
consistency, quality/integrity, and
reliability among individuals who
conduct these evaluations. The
presenter should be familiar with any
such standards or guidelines for
evaluators in the state/jurisdiction in
which the curriculum is being
presented.
Slide 40
Summary Exercise (2-4 minutes):
Before displaying the summary slide,
ask the participants to write down a list
of the key points they learned from this
session (1-2 minutes). Ask them to
share their list with a colleague (1-2
minutes).
Summary
• Assessments are essential for
understanding sex offenders on a case-bycase basis.
• Research reveals specific factors linked to
recidivism risk for sex offenders.
• Specialized, research-supported
assessment tools increase accuracy of
estimating risk.
The presenter concludes this module
by summarizing the key points
regarding the value of assessments to
guide decision-making.
Note: The presenter can refer
participants to the resource document
related to sex offender assessment
included in the Resource Center on the
CD. Developed by the Center for Sex
Offender Management, it is entitled,
The Importance of Assessment in Sex
Offender Management: An Overview of
Key Principles and Practices.
Slide 41
Summary (cont.)
• Psychosexual evaluations provide added
value over general psychological
evaluations.
• Thorough, complementary assessments
by quality evaluators can inform
sentencing decisions.
62
C.
MODULE THREE: TREATMENT AND SUPERVISION OF SEX OFFENDERS
Treatment for sex offenders is designed to accomplish two primary goals. The
first is to reduce sex offenders’ risk for reoffending, by helping sex offenders identify
risk factors that are linked to their offending behaviors and develop healthy skills for
counteracting these risk factors. Treatment is also designed to assist sex offenders
with leading successful, stable, productive, and fulfilling lives, which translates into
fewer victims and greater community safety.
When judges understand the types of treatment and other interventions that are
most likely to lead to attaining these goals, they are better positioned to ensure that
sentencing decisions support or complement those strategies.
LEARNING OBJECTIVES
•
•
•
•
•
Discuss the current controversies that lead to differing opinions regarding
treatment of sex offenders;
Name the commonly used model of treatment for adult sex offenders;
Identify three targets of treatment designed to reduce recidivism among sex
offenders;
Name three areas in which “specialization” applies to supervising sex offenders;
and
List three examples of specialized supervision conditions that may be relevant for
sex offenders.
•
•
•
Small/Large Group Activity: Brainstorming
Large Group Discussion: Quiz Answers
63
Slide 1
Treatment and Supervision of
Sex Offenders
Slide 2
(1 minute):
Learning Objectives
• Name the commonly used model of
treatment for adult sex offenders;
• Identify three targets of treatment
designed to reduce recidivism among sex
offenders; and
• Discuss the current controversies that
lead to differing opinions regarding
treatment of sex offenders;
Slide 3
minutes):
After discussing the learning objectives,
inquire about any additional questions
the participants may have regarding
treatment and supervision for sex
offenders and record these on a dry
erase board. Check off each of the
items as it is addressed throughout the
session. Prior to providing the
summary of the module at the end of
this session, ensure that each of these
items has been addressed.
Learning Objectives (cont.)
• Name three areas in which
“specialization” applies to supervising sex
offenders; and
• List three examples of specialized
supervision conditions that may be
relevant for sex offenders.
Slide 4
Research Strengths and
Weaknesses
What Sex Offender Treatment Looks
Like
Treatment and Supervision
Professionals
OVERVIEW
64
Lecture (1 minute):
Treatment for sex offenders is designed
to accomplish two primary goals. The
first is to reduce sex offenders’ risk for
reoffending by helping them identify risk
factors that are linked to their offending
behaviors and develop healthy skills for
counteracting these risk factors.
Second, treatment is also designed to
assist sex offenders with leading
successful, stable, productive, and
fulfilling lives, which translates into
fewer victims and greater community
safety.
Slide 5
Two Overarching Goals of Sex
Offender Treatment
• Prevent further harm, victimization
• Promote offender stability, success
When judges understand the types of
treatment and other interventions that
are most likely to lead to attaining these
goals, they are better positioned to
ensure that sentencing decisions
support or complement those
strategies.
Slide 6
COMPARISON OF SEX
OFFENDER TREATMENT
WITH OTHER “BEHAVIORAL
HEALTH” TREATMENTS
Small/Large Group Activity (10
minutes):
Ask participants to pair with a colleague
and brainstorm a list of the ways in
which they believe treatment for sex
offenders is similar to and different from
other types of mental/behavioral health
treatment. Encourage each pair to
share an item from their list with the
large group, until all ideas generated
from each pair have been shared.
Slide 7
How is Sex Offender Treatment . . .
• Similar to other types of psychological
treatment?
• Different from other types of
psychological treatment?
65
Slide 8
Lecture (1 minute):
In contrast to many other types of
treatment, whereby clients often seek
assistance voluntarily, sex offender
treatment tends to be mandated by the
courts or other authorities. Clients in
sex offender treatment are initially
much more likely to be “involuntary.”
Treatment Comparisons
Sex OffenderSpecific Treatment
Other Mental
or Behavioral
Health Treatment
Clients generally involuntary,
mandated
Often voluntary, self-selected
clients
Limited confidentiality,
waivers common
Strict confidentiality, few
exceptions
Therapeutic climate is vital
Therapeutic climate is vital
Blend of client-determined
and pre-determined goals
Primarily client-determined
goals
The information that is discussed
between treatment providers and
clients is privileged or confidential in
most settings, with few exceptions
(e.g., imminent threat of self-harm or
harm to others, mandated reporting of
child abuse). With sex offender
treatment, however, clients are often
expected to sign waivers of
confidentiality or be informed of
confidentiality limits that allow critical
information to be shared with others
involved in the justice system (e.g.,
supervision officers, the courts).
Collaborative relationships between
treatment providers and supervision
officers – including information-sharing
– ensure that key players have access
to accurate and current information
about the sex offender, particularly with
respect to any factors that increase risk
to reoffend.
Regardless of the type of treatment or
the type of client, building rapport and
maintaining a therapeutic climate is
essential. Clients will not be willing to
be candid, open, or engaged in the
change process in the absence of such
an environment.
Along a similar vein, clients are more
likely to be invested and motivated in
treatment when they feel ownership
over the treatment goals that are being
set. In more traditional forms of
treatment, clients enter treatment with
very specific ideas about what they
want to accomplish, and they work with
the provider to refine those goals.
Although some goals of sex offender
treatment may be pre-determined (e.g.,
identify risk factors, develop healthy
coping skills), the provider should still
work closely with the offender to
identify personal goals for treatment.
66
Slide 9
Lecture (1 minute):
Across all treatment settings, the
specific interventions that will be used
(and adjustments to those
interventions) should be guided by
assessments. This prevents treatment
from becoming “one size fits all.”
Treatment Comparisons (cont.)
Sex OffenderSpecific Treatment
Other Mental
or Behavioral
Health Treatment
Assessment-driven
interventions
Assessment-driven
interventions
Group therapy modality most
common
Individual therapy sessions
most common
Success or “failure” impacts
public safety
Success or failure primarily
impacts the client
Sex offender treatment, like many other
correctional programs, is typically
delivered in a group setting. This differs
from what commonly occurs in the
general mental health or behavioral
health arena, in which treatment often
takes place in one-on-one sessions.
With other types of treatment, the
implications and scope of impact of
unsuccessful treatment tends to be
fairly narrow, most notably affecting an
individual client’s level of satisfaction or
happiness. However, when sex
offenders are not successful in
treatment, the implications can be far
reaching and may involve additional
victims and public safety overall. Sex
offender treatment providers often feel
this weight. This is another important
distinction between sex offenderspecific treatment and other
mental/behavioral health treatment.
67
Slide 10
(1-2 minutes):
Describe each of the intervention types
on the next two slides using the brief
descriptions in these notes (the
descriptions are simplified for
illustrative purposes and are not
exhaustive). For each treatment
approach, ask participants if they
believe the approach is effective in
reducing recidivism among sex
offenders.
Different Approaches to
Sex Offender Treatment:
Which Seem Most Likely to Work?
• Psychoanalysis
• Insight-oriented therapy
Psychoanalysis is based on the
premise that individuals repress painful,
traumatic, or otherwise negative
experiences during childhood, and that
these unresolved issues lead to
problems in functioning later in life. A
key goal is to bring these issues into
conscious awareness so that the
individual is able to recognize and work
toward resolving them.
Insight-oriented therapy is primarily
used for highly motivated clients who
are interested in working closely with a
therapist to self-explore. It often
involves examining unresolved issues
and experiences with family, friends,
and partners; identifying how past
patterns influence how one currently
feels about himself or herself and
others; and working toward improving
one’s self image and building more
meaningful relationships.
Research shows that some approaches
do not seem to work with sex offenders
and others seem to work (Aos et al.,
2006; Losel & Schmucker, 2005;
Hanson et al., in press). Insightoriented therapy, psychoanalysis, and
non-specific “talk therapies” do not
appear to reduce risk among sex
offenders.
68
Slide 11
(1-2 minutes) (cont.):
Behavioral techniques are based on the
belief that behaviors are learned and
can be unlearned through conditioning.
Interventions are designed to shape,
modify, or eliminate specific behaviors
by pairing negative consequences with
the identified problem behaviors, and
increasing positive behaviors by pairing
rewards and reinforcers with the
desired behaviors. With sex offenders
specifically, behavioral approaches
have been used in an attempt to
change deviant interests and arousal.
Some research suggests that
behavioral techniques alone can be
effective for some sex offenders by
modifying deviant arousal, but the
effects may be short-lived. This is in
part because these approaches tend
only to address a single factor (e.g.,
deviant arousal), which is but one of
multiple factors that relate to offending
and reoffending.
Different Approaches to
Sex Offender Treatment:
Which Seem Most Likely to Work?
(cont.)
• Behavioral techniques
• Medical, pharmacological
interventions
• Cognitive-behavioral treatment
Medical or pharmacological
approaches with sex offenders include
the use of hormonal agents to reduce
testosterone (and thereby reduce, or
even eliminate, sex drive). This is what
some refer to as chemical castration.
Some evidence supports the use of
certain types of medications for
reducing sexual drives and urges, but
these medications are not appropriate
for all sex offenders. Generally
speaking, pharmacological approaches
are not designed to be used in
isolation; rather, when used, they are
included as part of a broader treatment
regimen that also addresses other risk
factors and treatment needs for a given
offender.
Cognitive-behavioral approaches are
designed to assist individuals with
identifying the relationship between
thoughts feelings and behaviors,
changing unhealthy or dysfunctional
patterns of thinking, and developing
and practicing skills to increase healthy
functioning (e.g., problem-solving,
social skills, anger management). The
cognitive-behavioral approach has the
most research support for reducing
69
recidivism among sex offenders. It is an
evidence-based model that has been
used effectively for multiple issues,
including depression, anxiety, eating
disorders, substance abuse, and
problem attitudes and values of
individuals in the criminal justice
system (Landenberger & Lipsey, 2005).
Slide 12
RESEARCH STRENGTHS
AND WEAKNESSES
Lecture (1 minute):
This session will address the strengths
and weaknesses in the research on the
efficacy of sex offender treatment.
Slide 13
Understanding the Controversy
• What do we need to understand
about treatment research to know if it
validly informs us as to whether
treatment works?
• A little background on research
design
Slide 14
What do we need to understand about
treatment research to know if treatment
works?
Lecture (1 minute):
This slide raises the broader question:
How do we know any treatment works?
We use science to test the risks and
benefits. We need to use enough
subjects to allow statistical analysis.
Randomization and controls are
important to interpreting results in
studies to make sure that sampling bias
is not the source of outcome
differences.
General: How Do We Know if a
Treatment Works?
• Test it scientifically for risks and
benefits
• Standard: scientific studies
– Adequate sample of subjects
– Randomized
– Controlled
• Measure outcomes with
accuracy
After we have research study results,
we can apply them. But the results are
only valid within the doses and
populations on whom the treatment
was tested.
70
After research establishes that a
treatment works, further studies will
define the specifics – what is the dose
and duration of the treatment? Who will
respond to the treatment? For example,
a medication for a viral infection may be
effective only when dosed high enough
and for a long enough period of time.
Further, the medication may have been
found to be safe and effective in
treating viral infections in young adults
but not in elderly people. A medication
is “labeled” to inform prescribers of the
established indications, or purposes,
where is it effective.
Slide 15
After the Research
• Findings of safety and efficacy allow
for treating within guidelines of “dose”
and duration
• Findings apply to a certain population
with extreme care for extrapolation
• “Off-label use” – new applications of
treatment
Psychosocial treatments have the
same considerations – treatment
effects may depend on dose (number
of sessions or length of sessions),
duration (period of treatment), and
specific populations (adults but not
adolescents). When a medication is
applied to a problem that is unlike the
problems it has successfully treated in
the past, this is “off-label” use. An
example would be the use of an
antiviral to treat another type of
infection. When we do the same with
psychosocial treatments, we lose the
ability to predict treatment effects. We
cannot assume that a treatment for
men will work for adolescents, or that a
treatment developed as an individual
therapy can help in a group treatment
setting. Each new application of the
treatment needs to be validated with
the new target problems and
populations.
71
Slide 16
This slide spends a little more time on
the issue of randomization. It can be
used to illustrate an example of nonrandomization and difficulties
interpreting data.
Experimental vs.
Quasi-Experimental Studies
Let’s say I wanted to test a new
fertilizer for flowers. I decide to
compare the effect on two groups of
flowers that were in two different
places. Because the flowers on the
mountain were hard to get to, I used
those as my control comparison and
used the fertilizer on the plants in my
yard. After 60 days, I compared the
outcome – the number and size of
blossoms on flowers in the two groups.
The flowers in my yard were bigger and
had more blooms.
Can I conclude that the fertilizer
worked?
Why or why not?
This is an example of a quasiexperimental study. I had a control
group, but the subjects – here
individual flowers – were not randomly
assigned to fertilizer or non-fertilizer. I
used a convenience sample for the
treatment. The difference in the
outcome may have been the result of
another difference between the groups.
Maybe the flowers on the mountain
were colder, or had more shade.
The results are suggestive or promising
about the fertilizer, but I am not as
confident about its effect as I could be if
I had a random assignment, which is an
experimental study.
Why all this talk about study design –
this is the core of understanding the
controversies about sex offender
treatment studies.
72
Slide 17
WHAT SEX OFFENDER
TREATMENT LOOKS LIKE
Lecture (1 minute):
Within the cognitive-behavioral
framework, sex offender treatment is
most commonly delivered in a group
setting (McGrath et al., 2003).
Providers believe that group treatment
is beneficial in that it provides
opportunities for offenders to
understand, challenge, and learn from
one another and provides opportunities
to practice interpersonal skills. It is also
time and resource efficient. Most of the
research on treatment has been based
on programs using groups as a primary
mode of treatment.
Slide 18
Commonly Used Approach to Sex
Offender-Specific Treatment
• Cognitive-behavioral model
• Multiple modalities
– Group, individual, marital/family
– Pharmacological
Individual, marital/couples, and family
therapy are important to consider as
well. Some types of issues may be
better suited for more focused attention
outside of the group setting. And some
clients may have difficulty keeping pace
with the group, and may need
additional assistance. This is
particularly true for sex offenders with
learning disabilities, who have
language barriers, or who have
cognitive, developmental issues that
may interfere with their ability to
respond to treatment in the group
setting.
For some sex offenders,
pharmacological interventions can be
useful as an adjunct to cognitivebehavioral treatment (e.g., for
addressing depression or anxiety, for
reducing ruminating thoughts,
compulsions, sex drive).
73
Slide 19
The best studied and most promising
approach to sex offender treatment is
cognitive behavioral therapy,
sometimes called CBT. This is a
specific type of talk therapy that has
been used for treatment of other
disorders such as depression and
anxiety. In the treatment of sex
offenders, the focus of CBT is on the
thoughts and feelings that precede sex
offending.
What Does Cognitive Behavioral
Treatment Look Like?
• Individual and/or group sessions
• Focus on past offenses and the pattern
of thoughts, feelings, and behaviors that
led up to the offense
– e.g., substance use, viewing
pornography, fantasies
• Challenges old patterns, introduces
alternative thought and behavior patterns
Treatment with CBT can occur in
individual sessions or in treatment
groups in which all the participants are
sex offenders. Therapists help
offenders see that a sex offense did not
“just happen” but resulted from a series
of thoughts, feelings, or behaviors. For
example, an offender may be able to
identify a pattern of thinking behavior
that precedes offending. Drinking
alcohol and viewing pornography
online, for example, may be behaviors
that lead to sex offending. By learning
to identify the antecedents, an
individual may modify his behavior or
catch high risk behavior before it
progresses.
Less concrete but also important in
CBT is looking at the thoughts and
feelings that are part of an offender’s
cycle. Some people may be more likely
to offend when they are lonely or bored.
Others may have cognitive distortions
(faulty cognitions) about their offending
that can be addressed in therapy. For
example, an offender may rationalize
offending by minimizing the negative
impact it has on victims. In CBT, those
types of permissive thoughts are
challenged with feedback and data.
Some CBT programs include anger
control and skills building, such as
communication skills.
74
Slide 20
Primary Targets of Sex Offender
Treatment (Static and Dynamic)
•
•
•
•
•
•
Sexual deviance, sexual preoccupations
Intimacy deficits, conflicts in relationships
Hostility, pervasive anger
Research data does not show that
treatment of specific risk factors works.
Lecture (1 minute):
Treatment and supervision are more
effective in reducing recidivism and
increasing successful outcomes for
offenders when they focus on the risk
factors directly linked to recidivism
(Andrews & Bonta, 2007; Hanson &
Morton-Bourgon, 2005). Treatment for
sex offenders is generally geared
toward assisting the clients with:
• Increasing healthy sexual interests
and activity, and reducing or
managing deviant sexual urges.
• Developing and maintaining healthy
relationships, and learning how to
effectively manage conflicts as they
arise.
• Recognizing, understanding, and
modifying unhealthy attitudes and
beliefs.
• Practicing skills that can help
mitigate and manage anger and
hostility, such as stress
management, problem-solving, and
effective communication.
• Identifying motivators, skills, and
resources that can promote stability
in life (e.g., school, gainful
employment, health and wellness,
positive social supports).
Research has not yet confirmed
efficacy of specific variables. Treatment
tends to be broad because we don't
know which of the targets might be the
“active ingredient.” Because resources
are always limited, judges should know
the evidence for interventions that
come with a price tag.
75
Just as assessment information assists
judges with making informed
sentencing decisions with sex offenders
on a case-by-case basis, assessments
are essential for making individualized
treatment decisions. Treatment
delivered in a “one size fits all” manner
is not likely to be effective.
Slide 21
Assessment-Driven Treatment
• Individualized dose and duration of
treatment and supervision
• Target known risk factors
• Measurement of progress
– e.g., Treatment needs and progress cale
every six months
As a reminder, correctional
interventions are most effective when
the intensity and dosage of treatment
are matched to offenders’ level of risk
and severity of needs, when treatment
focuses primarily on risk factors (as
outlined on the preceding slide), and
when services are delivered in a
manner that takes into account client
variables such as gender, culture, level
of functioning, and motivation to
change (Andrews & Bonta, 2007).
Thorough assessments assist
treatment providers with identifying and
then attending to these principles.
Finally, assessments should be used to
gauge treatment progress objectively,
consistently, and routinely. An example
of a sex offender-specific tool used for
this purpose is the Treatment Needs
and Progress Scale (McGrath &
Cumming, 2003). This instrument
includes the common factors targeted
in treatment – including those most
closely linked to recidivism – with
specific descriptors against which
clients can be rated approximately
every 6 months.
Lecture (1 minute):
Medication has been used in addition to
psychological treatments. It is not a
stand-alone treatment. Medications to
lower testosterone have risks and there
are some complications with physician
management.
Slide 22
Medication Approaches
• Decrease testosterone  decrease
sex drive
• Does not change sexual interests
• Time-limited effect
• Side effects: bones, liver
76
Lecture (1 minute):
Several medications have been studied
and used for treating sex offenders.
Medications are not used without a
behavioral or cognitive behavioral
treatment program. They are best used
as adjuncts to non-medication
treatments.
Slide 23
Medications
• Antiandrogens
– Provera™
– Lupron™
• SSRI Antidepressants
The most commonly studied
medications are the anti-androgens.
These are medications that manipulate
hormone levels and decrease
testosterone and sex drive. Provera
and Lupron are the names of two
common antiandrogens. Treatment with
these medications can lead to serious
physical side effects and therefore they
need to be administered and monitored
with care.
The group of antidepressants known as
the SSRIs is also used with sex
offenders. Some people experience a
decrease in sex drive on these
medications. In most people, this would
be considered a problematic side
effect. In sex offenders, this is a desired
effect of the medication. Another
reason they are sometimes used is to
decrease obsessive and compulsive
thinking. The SSRI impact on sex
offending is less clear, probably
because there is much more individual
variation in the effect of these
medications. Because of possible side
effects, these medications also need to
be carefully prescribed and monitored.
In high risk offenders, medication is
more likely to be used. Some will be
treated with combined antiandrogens
and SSRIs.
For a recent review on this topic, see
David R. Guay, Drug Treatment of
Paraphilic and Nonparaphilic Sexual
Disorders, 31(1) Clinical Therapy 1
(2009).
77
Slide 24
Research on
Treatment Effectiveness
• Increasing body of research
• Several meta-analyses
• Treatment associated with lower
recidivism rates in non-randomized
studies
• However, randomized study found higher
rate of recidivism in treatment group
Lecture (1 minute):
Research on treatment effectiveness
for sex offenders continues to expand
and suggest some uncertainty as to its
effectives – experts differ in their
opinions as to the effectiveness of
treatment on recidivism. One recent
meta-analysis suggests that cognitivebehavioral treatment can reduce
recidivism among sex offenders
(Hanson, et al., in press.) However, that
meta-analysis was composed of 23
studies – 14 of which were published;
18 of which were rated “weak”; and four
of which were randomized.
The only published randomized study
on sex offenders is one from the
California Department of Corrections
sex offender treatment program
(Marques, et al.). That study found that
the treatment group had a higher rate
of recidivism compared with those
randomized to control groups.
Bottom line: Professionals don’t
agree. Although data from randomized
controlled studies have not yet been
able to prove a treatment effect, this
does not mean treatment cannot work
to decrease recidivism. The research is
ongoing and there may be studies in
the future using different populations of
offenders or different types of treatment
that can show a positive treatment
effect.
Slide 25
“Balanced Approach” to
Sex Offender Management
Risk
Management
through
Specialized
Supervision
Maximized
Public
Safety
Risk
Reduction
through
Sex
Offender
Treatment
78
Lecture (1 minute):
Specialized treatment is an important
strategy for reducing sex offenders’
recidivism risk. However, when judges
sentence sex offenders to probation –
or when sex offenders return to the
community following a prison sentence
– supervision is another key component
to managing sex offenders effectively.
These two components can
complement one another to maximize
public safety.
Slide 26
TREATMENT AND
SUPERVISION PROFESSIONALS
Without question, better results occur
when providers are well-trained and
well-supervised (Andrews & Bonta,
2007; Dowden & Andrews, 2004;
Lowenkamp et al., 2006). In the module
on assessment, several important
characteristics were outlined pertaining
to qualifications of sex offender-specific
evaluators. The same types of
characteristics apply for practitioners
who provide sex offender-specific
treatment (see ATSA, 2005). To review,
view the faculty notes of Module 2,
Slide 40 which provides a list of criteria
that are commonly used to consider the
level of expertise and qualifications of
sex offender-specific evaluators (ATSA,
2005).
Slide 27
Treatment Provider Expertise
• Relevant advanced degree
• Forensic training, experience
• Specialized training, clinical
supervision
• Licensure, professional affiliations
• Continuing education
Note: Finally, the presenter should
reiterate the value of collaboration and
note that the willingness/ability of
treatment providers to forge and
maintain meaningful partnerships with
other stakeholders involved in
managing sex offenders (e.g.,
supervision officers) is an important
indicator.
79
Lecture (1 minute):
Courts and partnering agencies
throughout the country recognize the
complexity of sex offender
management and the unique
challenges posed by this special
offender population. As a result,
specialized approaches to supervising
sex offenders have become
commonplace. Specialization has
several dimensions with respect to
supervising sex offenders: the training
and deployment of officers, the
conditions imposed by the courts or
supervision agencies, and the
technology that can be used to
augment supervision practices.
Slide 28
Elements of Sex
Offender Supervision
• Specialized officers
• Specialized conditions
• Specialized technology
80
Many courts and supervision agencies
have worked to promote specialization
of officers responsible for supervising
sex offenders and, in some instances,
have created specialized supervision
units or dedicated positions to manage
sex offender caseloads. Specialization
can result in multiple benefits
(Cumming & McGrath, 2005; CSOM,
2009a, 2009b; English et al., 1996).
Slide 29
Specialized Officers
•
•
•
•
Internal expertise
Focused efforts
Awareness of resources
Collaboration emphasis
Through ongoing training and
consultation, specialized officers can
enhance the internal expertise and
capacity of the courts and supervision
agencies. Their enhanced knowledge
about sex offenders, the dynamics of
these cases, the specific risk factors
linked to recidivism, and the use of
specialized risk assessment tools
allows them to focus their supervision
efforts in a manner that can maximize
resources and increase effectiveness
with this population. For example, being
specially trained in sex offenderspecific risk assessment tools allows
them to make more informed decisions
about the level of supervision that is
most likely to be effective (i.e., higher
levels of supervision for higher risk sex
offenders), and the specific issues
should be monitored routinely because
they signal increased risk to reoffend.
When officers specialize in sex offender
management and/or have caseloads
that are primarily comprised of sex
offenders, they tend to be more familiar
with the resources in the community
that can promote stability and success
of sex offenders (e.g., sex offenderspecific treatment, housing and
employment). In addition, specialization
promotes collaboration and informationsharing between supervision officers,
treatment professionals, social
services, and law enforcement officials
who have important roles in the sex
offender management process. A key
tenet of specialized caseloads – which
are ideally smaller than non-sex
offender caseloads – is to allow
dedicated time to communicate with
partner agencies, use field contacts to
make home visits and employment
81
visits, routinely assess and monitor
dynamic risk factors, and to participate
in case management team meetings to
“staff” cases.
82
Slide 30
minutes):
Engage participants in a brief dialogue
regarding specialized conditions, using
the following questions as a guide:
• What types of specialized conditions
do you believe are most important
for sex offenders under community
supervision?
• To what extent are specialized
conditions for sex offenders used in
your jurisdiction?
• Who is responsible for imposing
these conditions?
Areas Addressed by
Specialized Conditions
• Treatment
• Victim contact
The primary purpose of imposing
specialized supervision conditions is to
provide clear structure and
expectations to reduce and manage
risk posed specifically by sex offenders.
Specialized conditions typically address
the following areas (see Cumming &
McGrath, 2005):
• Treatment: Because of the role that
sex offender-specific and other types
of treatment play in reducing risk and
promoting stability, it is common to
impose special requirements for sex
offenders to participate in and/or
complete any recommended
treatment.
• Victim Contact: “No contact”
conditions are common in sex
offense cases and may encompass
not only prohibitions against physical
or other in-person contacts, but also
telephone and written
communications. This type of
condition is designed as an
additional safeguard to prevent
victims from being further
traumatized in any manner by the
offender, and to eliminate the
offender’s access to the victim. For
sex offenders who have sexually
abused children, “no contact”
prohibitions are oftentimes expanded
to include no unsupervised contact
with any minors. This can be
challenging in some instances,
particularly when the victim is a
family member or when the offender
has children of their own who were
not the target of victimization.
83
Slide 31
Lecture (1-2 minutes) (cont.):
• Employment, Leisure Activities:
Restrictions on social, leisure, and
employment activities are also
common for sex offenders under
community supervision. Such
conditions are designed to minimize
access to situations or locations that
may heighten risk. For example,
individuals who have abused
children are typically prohibited from
working in, volunteering in, or
residing near locations where
children may congregate. A similar
off-limits activity may involve working
or otherwise spending time in
establishments in which alcohol is a
primary source of revenue, such as
bars or nightclubs.
• Surveillance and Monitoring: Special
supervision conditions for sex
offenders also tend to include
surveillance and monitoring. For
example, computers are often
subject to random searches (e.g., to
identify attempts to contact victims or
other potential victims, access to
web-sites that promote violence,
child pornography). In addition, sex
offenders may be required to
participate in polygraph
examinations to verify compliance
with supervision and treatment
expectations or to explore specific
areas of concern. Recently, ongoing
“real-time” monitoring through
electronic monitoring or GPS has
become more common as a means
of tracking offenders’ whereabouts
and to prevent them from entering
zones deemed off limits because of
the increased risk potential.
Areas Addressed by
Specialized Conditions (cont.)
• Employment, leisure activities
• Surveillance
• Monitoring
Whether imposed by a judge or a
supervision officer, decisions about
which specialized conditions should be
imposed are perhaps best made on a
case-by-case basis, based on a
number of variables including – but not
limited to – the offender’s assessed
level of risk, identified risk factors,
offense dynamics, and intervention
needs.
84
Slide 32
Supervision – Query
• What types of specialized conditions
do you believe are most important for
sex offenders under community
supervision?
• To what extent are specialized
conditions for sex offenders used in
your jurisdiction?
• Who is responsible for imposing these
conditions?
Large Group discussion (3-4
minutes):
Query the group on the types of
specialized conditions they believe are
most important for sex offenders under
community supervision; the extent to
which specialized conditions for sex
offenders are used in their jurisdictions;
and who is responsible for imposing the
conditions. Include a discussion of
whether the defendant’s admission
should be a prerequisite to treatment
and supervision.
This is an important area that needs to
be explored.
Slide 33
Supervision Orientations and
Philosophies
Surveillance,
Monitoring,
Enforcement
Social
Casework
To be most effective, supervising sex
offenders cannot solely involve
surveillance and monitoring. Those are
important functions, but officers also
have an important role to play in
ensuring that sex offenders receive
appropriate services and supports that
will help to reduce their risk of
reoffending and increase their
likelihood of stability and success.
These officers must assess and
understand the specific risk factors and
other needs that should be addressed
through programs and services,
communicate with the offenders about
those needs, and broker services
accordingly. Officers can also influence
change through their own interactions
with offenders through modeling
effective communication, assisting
them with problem-solving, supporting
their participation in sex offender
treatment, and consistently reinforcing
pro-social behaviors. In many ways,
those roles and functions parallel those
of social workers or case managers,
and look less like “enforcement”
officers.
Research shows that when supervision
officers adopt a more balanced
approach – one that includes a blend of
surveillance, monitoring, enforcement,
and social casework activities –
outcomes are better (Aos et al., 2006).
85
Slide 34
Specialized technology, namely the
polygraph and GPS, has become
increasingly common for the community
management of sex offenders.
Surveillance and Monitoring
• GPS
• Polygraph
• UDS
86
As a review, for sex offender
management, the subjects addressed
in polygraph examinations are (a)
sexual history – as a means of
promoting disclosure about one’s past
sexual experiences and offending
behaviors, (b) maintenance/compliance
– used to verify that sex offenders are
complying with the terms, conditions,
and expectations of treatment and
supervision, and (c) identified issues –
to explore a specific concern that has
arisen during the course of supervision
or treatment. Research indicates that
sex offenders tend to disclose or report
more information when the polygraph is
used as part of a broader approach to
sex offender management (Ahlmeyer et
al., 2000). However, research does not
indicate that the polygraph is a reliable
indicator of risk or that it reduces
recidivism or otherwise increases public
safety. It is a tool that can be used to
support or complement a more
comprehensive approach to sex
offender management. Within the
context of sex offender management,
the polygraph may be best considered
as a tool to facilitate informationgathering – not as a “lie detector,” per
se. In other words, its value is not
whether deception is or is not indicated;
rather, the value comes from the
information that is disclosed in the
structured interviews that immediately
precede and follow the examination
itself. For jurisdictions that use the
polygraph, it is important that
supervision officers, treatment
providers, polygraphers, and others
collaborate when making decisions
about the nature and focus of the
examinations, frequencies of the
examinations, and the ways in which
the information will be used to inform
ongoing case management decisions.
Electronic monitoring or GPS is
designed as a means of deterring sex
offenders from entering high risk or
prohibited situations and
tracking/monitoring offenders’
whereabouts. This technology can be
used to verify that a given offender is
(or has been) in the locations they are
supposed to be, such as work or home,
and that they are not (or have not been)
in prohibited zones or locations.
Electronic monitoring is costly and, thus
far, has not been found to
systematically reduce recidivism or
otherwise increase public safety with
either non-sex offenders or sex
offenders. If used as a risk
management tool, it is perhaps best
considered with higher risk sex
offenders – in keeping with the
principles of effective correctional
intervention. It should not, however, be
used in isolation as the sole strategy for
supervising sex offenders. Like the
polygraph, it is one potential tool that
can be used within a broader sex
offender management approach.
Location monitoring should be tightly
linked since a long delay in the
feedback to the officers can be very
problematic in terms of liability.
Slide 35
Applying Risk Principles to Sex
Offenders Supervision
• Target higher risk offenders for more
intensive supervision strategies
• Provide longer periods of supervision for
higher risk offenders than for lower risk
offenders
• Focus programming referrals on higher risk
offenders
• Ensure that more risk factors, rather than
non-risk factors, are the focus of intervention
Urine drug screens are important since
drug and alcohol problems are an
important criminogenic factor.
Lecture (1 minute):
As is discussed in Module Six,
Evidence-Based Sentencing, effectively
employing a balanced approach to
supervision requires that officers take
into account the core evidence-based
principles found to reduce recidivism
(Andrews & Bonta, 2007; Lowenkamp
et al., 2006). This means that officers
should use specialized assessment
tools to identify higher from lower risk
offenders, and provide a level and
length of supervision that matches the
assessed level of risk. Not all offenders
should be supervised at the highest
intensity or for the longest period of
time.
It also means that offenders with higher
risk and greater needs should be
referred to programs and services more
than low risk-low need offenders, and
that the focus of supervision and
programming efforts should be on
factors that are directly linked to
recidivism.
87
Slide 36
minutes):
Ask participants to share with their
colleagues some of their reactions to
the material, using the following
questions as a guide:
Summary and Implications
• Cognitive-behavioral sex offender
treatment reduces recidivism in nonrandomized studies.
• Supervising sex offenders involves
specialization
• Balancing treatment and supervision may
increase public safety
• What is the most surprising
information you have heard so far?
• Risk reduction and risk management can
be targeted through sentencing orders
• What information has been the most
validating?
• How does this information comport
with what is occurring in your
jurisdiction?
88
D.
MODULE FOUR: CASE STUDIES
The case studies are an integral part of the curriculum. They consist of presentence investigation reports and psychosexual exams for each offender. In
developing your course, we highly recommend you designate a session for breakout
groups. The break-out or discussion groups session can either be a separate session
that precedes the presentation of Module Five, or a session that is integrated into the
presentation.
Approximate time: 15-20 minutes of small group discussion per case
LEARNING OBJECTIVES
•
•
Identify various sentencing factors a judge may consider; and
Better determine appropriate sentences for offenders.
89
Introduction
This module contains case studies for five offenders: “John A. Doe,” “John B. Doe,”
“John C. Doe,” “Jane A. Doe,” and “Jane B. Doe.” Each case study consists of a pre-sentence
investigation report and a psychosexual exam. The case studies derive from actual cases. The
pre-sentence investigation reports begin with a synopsis of the report; they conclude with
victim statements where applicable. The psychosexual exams include a Static-99 assessment.
The cases were selected to give the participants a variety of offenders to consider for
sentencing. Here is a brief description of the cases:
•
•
•
•
•
John A. Doe is a 37-year-old male indicted on two counts of Importuning
(Internet solicitation) and Attempted Unlawful Sexual Conduct with a Minor. He
pled guilty as charged.
John B. Doe is a 75-year-old male indicted on two counts each of Rape and
Gross Sexual Imposition; the victims were his two granddaughters, ages four and
eight when the crimes began. He pled guilty as charged.
John C. Doe is a 19-year-old male indicted on one count each of Sexual Battery
and Tampering with Evidence; the victim was a 16-year-old female acquaintance.
He pled guilty as charged.
Jane A. Doe is a 35-year-old female indicted on two counts of Unlawful Sexual
Conduct with a Minor; the victim was a 15-year-old male acquaintance. She was
found guilty by a jury of one count.
Jane B. Doe is a 28-year-old female indicted on three counts of Unlawful Sexual
Conduct with a Minor and one count of Obstructing Official Business; the victim
was a 15-year-old female. She pled guilty to two counts of Unlawful Sexual
Conduct with a Minor.
The case studies are an integral part of the curriculum – we recommend you utilize the
case studies regardless of the length of your judicial education program. They give the judges
an opportunity to work through how they would sentence convicted sex offenders in actual
cases. You will likely find that judges emphasize varying factors. The discussion among the
judges makes them aware of the different approaches and factors that may be considered in
imposing a sentence, including the conditions they may impose.
To best utilize the case studies, we recommend the following:
1.
Choose the number of case studies you will utilize. We recommend you utilize
three case studies for an eight-hour curriculum, and one or two for a shorter
curriculum.
2.
Tailor the charges or facts to the law of your jurisdiction, if need be. The case
studies are designed to be as “generic” as possible, but charges, levels of
discretion, and other factors vary from jurisdiction to jurisdiction.
3.
Once the participants are enrolled, create discussion groups of five to eight
judges and reserve a separate space for each discussion group.
90
4.
Ask one judge within each group to serve as a discussion group leader. Explain
to him or her that his/her job is to facilitate a discussion of how the judges would
sentence each convicted offender, and provide the judge with any training or
information you may have to guide him or her in this role. We recommend
materials created for this purpose by Gordon Zimmerman, Ph.D., Professor
Emeritus, University of Nevada, Reno, Department of Speech Communication
and Theatre; and Kelly Tait, M.A., Independent Learning Instructor, University of
Nevada, Reno, Department of Speech Communication and Theatre. Forward the
case studies to the discussion group leaders at this early stage so he/she will be
familiar with them and have the necessary comfort level to lead a discussion.
5.
Forward the case studies to the remaining participants approximately 10 days
ahead of the course and request that they review them and be ready to discuss
them.
6.
Optimally, schedule 15-20 minutes per case study for the discussion groups. This
enables the groups to consider all the facts and factors presented in each one.
7.
Schedule this module before the “Sentencing and Its Implications, Including
Conditions to Impose” module at your judicial education course. The sentencing
module incorporates the case studies into the presentation (in addition to the
discussion groups).
8.
Include copies of the case studies in the materials you present at the judicial
education course.
9.
Advise the faculty for the course that the case studies are an integral part of the
course and referenced throughout the modules; present the faculty with the
Case Studies Synopsis, located in the Resource Center on the CD, in addition to
the case studies.
91
JOHN A. DOE
92
PRE-SENTENCE INVESTIGATION REPORT
JOHN A. DOE
CASE SYNOPSIS
Demographics
•
•
•
•
•
37-year-old male
Currently married (nearly 10 years), 2 children
Well-educated – obtained Master’s in Business Administration
Stable employment – works in software development
Stable home, stable finances
Current offense
•
Indicted on two counts of Importuning (Internet solicitation) and Attempted Unlawful Sexual
Conduct with a Minor
o Believed the person was a 14-year-old minor female
o Sexually explicit communications over two months’ time
o Apprehended after driving to agreed-upon meeting place
o Acknowledged having thoughts about having sexual contact, but claims to have changed
mind
o Currently in counseling
o Pled guilty to two counts of Importuning
o Statutory penalties
Importuning: 6-12 months of incarceration and/or up to $2500 fine
Additional background information
•
•
•
Stable home during childhood
No history of maltreatment
No mental health, health, or substance abuse difficulties
Criminal history
•
At age 17, fined for disorderly conduct
93
DETAILS OF INSTANT OFFENSE:
The following information comes from the prosecutor’s office and police department
reports. Between the dates of October 17, 2009, and December 23, 2009, the defendant, John
A. Doe, had ongoing conversations in an Internet chat room with a person whom he thought to
be a 14-year-old girl. It was actually a detective from the police department. After the first few
conversations between the defendant and the “14-year-old girl,” the conversations turned to
sex, what kind of sexual experiences the girl had, and what kind she would like to have.
Eventually, it was agreed that the two would meet on December 26, 2009, at an Arby’s
Restaurant. When the defendant arrived at Arby’s at the prearranged time, he was arrested by
police and charged with Importuning and Attempted Unlawful Conduct with a Minor. The
defendant eventually pled guilty to two counts of Importuning – both felonies.
DEFENDANT’S VERSION:
The defendant gave the following written statement when interviewed by the probation
department: “I was involved in a chat room on the Internet with two separate individual
teenage girls at different times – sex talk in the nature of oral sex and then engaged in
conversation to meet one to explore and have sexual relations. On December 26, I drove to
the place proposed. While going there, I had second thoughts and never got out of the car or
stopped until the police found me driving near the scene. I got scared and knew it was wrong.
I admit that the thoughts and the actions were there, but I do not want that in my life. I am
working with a counselor to understand it and prevent it. I am in a support group and will
never do it again. I hurt my family and friends.”
PRIOR RECORD:
Juvenile:
The defendant has no known juvenile record.
Adult:
Offense
Disposition
12-1-91
Disorderly ConductFighting
12-10-01: Fined
3-12-1
Importunity (2 counts)
Instant Offense
Date
MINOR TRAFFIC CONVICTIONS:
N/A
PENDING CHARGES:
The defendant has no known pending charges.
94
SUPERVISION ADJUSTMENT:
N/A
SECURITY THREAT GROUP PARTICIPATION:
The defendant is not a member of any known gang.
FAMILY HISTORY:
The defendant is the youngest of two children. The defendant indicated he grew up in
the neighboring big city and moved to the southwestern part of the state to attend a university.
He indicated that, with the exception of two years when he lived in Broward County, Florida, he
has since lived in the southwestern part of the state.
Father: 66;
Mother: 64;
Sister: 38, is employed as a secretary.
MARITAL HISTORY:
The defendant married his wife on June 24, 2002. This marriage is still intact. The
defendant has two children, ages four and six. The defendant indicated he and his wife have
custody of these children.
The defendant currently resides in a one-family house which the defendant and his wife
own. The defendant indicated he currently pays a mortgage of $1,139.00 a month for this
residence. It has four bedrooms. The defendant indicates that he, his wife, and two children
are the only people residing at that residence. The defendant indicated there are no weapons
in the home.
EDUCATIONAL HISTORY:
The defendant graduated from high school in 1991. He received a business degree from
the university in 1996 and returned for an MBA degree in 2005.
MILITARY HISTORY:
The defendant has no military history.
PHYSICAL AND MENTAL HEALTH:
The defendant is a 37-year-old male whose only physical complaint is allergies. The
defendant indicated he currently is not taking any prescription medication, but in the
summertime when his allergies return he will take medication for that problem. The defendant
indicated he was in family counseling in 1996 and is currently in counseling with a therapist due
to the instant offense. The defendant indicated he first began using alcohol at age 18 and he
has never used any illicit drugs. The defendant indicated he drinks maybe once a month. The
95
defendant stated he has never been in any program for substance abuse. The defendant
indicated he was never abused in any manner as a child and has never attempted suicide.
EMPLOYMENT HISTORY:
December 2006 to present: The defendant is currently employed as a consultant; he
earns $103,000.00 per year.
FINANCIAL CONDITION:
The defendant listed his assets as a house worth $265,000.00 in which he has
$60,000.00 in equity. The defendant indicated he has $7,000.00 in a checking and savings
account; $65,000.00 in stocks and bonds; one automobile worth $25,000.00 and a second
automobile worth $10,000.00; and $12,000.00 in a 401(k) plan. The defendant lists his
outstanding liabilities as $400.00 a month in car payments and car insurance; his house
mortgage plus an equity line against the house in which he pays $1400.00 a month; $50.00 a
month for utilities; and a credit card with a $1500.00 balance, on which he pays $50.00 a
month.
****************************************************************************
VICTIM’S VERSION/RESTITUTION:
Due to the nature of this offense, there is no victim or restitution.
96
PSYCHOSEXUAL EXAM
JOHN A. DOE
John A. Doe was referred for a psychosexual examination, after a verdict and
adjudication of guilt, to assist the court in determining the defendant’s sexual predator status.
He was indicted on charges of Attempted Unlawful Sexual Conduct with a Minor and two counts
of Importuning. As the result of a plea bargain, Mr. Doe pled guilty to two counts of
Importuning. Mr. Doe was informed of the purposes and non-confidential nature of the
evaluation, and he agreed to participate in the evaluation. He was clinically interviewed at this
examiner’s office March 10, 2010, for one hour.
Sources of collateral information included the following:
1.
2.
3.
4.
Court documents regarding this case, including Indictment, State’s
Answer to Defendant’s Request for Discovery, Plea of Guilty, Jury
Waiver, and Entry Ordering Forensic Evaluation;
Police department investigative reports regarding this case,
including Voluntary Statement by the defendant and Transcript of
online communications with “Mary” and “Jane”;
Results of Minnesota Multiphasic Personality Inventory–2 (MMPI-2);
and
Results of the Static-99.
COLLATERAL INFORMATION
According to court documents, John A. Doe was indicted for offenses that allegedly took
place from October 17 through December 26, 2009. Mr. Doe indicated he was communicating
via Yahoo Instant Messenger with someone with the screen name “Mary” for a month or so.
The transcript of his contact with her indicated he believed she was 14 years old. He eventually
asked if she wanted to try “things of a sexual nature”; they “discussed the possibility of having
sex”; and they arranged to meet. But, according to John Doe, “by the time I got to Arby’s, I
had changed my mind,” and he intended to tell her that. He said he also remembered
communicating with someone with the screen name “Jane,” but recalled nothing about their
conversations. The transcript of his talks with Jane indicated he initiated talk with her about
sexually explicit matters and discussions about meeting.
BACKGROUND INFORMATION
The following social history was provided by the defendant, except as indicated
otherwise.
Family of Origin
John A. Doe was raised by both natural parents along with one older sister. His father is
retired from a job as a controller of a chemical company. His mother was a special education
teacher and is now retired. Mr. Doe stated that neither parent had a history of criminal charges
97
or convictions, drug or alcohol abuse, psychiatric problems, or suicide attempts. He said that as
a child, he was not mistreated, neglected, or abused. He said that as far as he knew, none of
his biological family members was ever diagnosed with a mental illness. He lived with both
natural parents until he was 18 years old, when he left for college.
Education
Mr. Doe stated that in elementary school he earned average and above average grades,
and he reported no serious disciplinary problems. Mr. Doe graduated from high school in 1991.
He attended a university from 1991 to 1995 and earned a B.B.A. He graduated from another
university in 2004 with an M.B.A.
Jobs/Occupation
Mr. Doe’s first job, after completing his B.B.A., was doing collections work for four-anda-half years. He then moved to another city and did software implementation. He was there
more than three years then went to another software company for three years. He next worked
for a database company doing database work for six months. He has been working for another
software development company in software development up to the present time.
Criminal History
While Mr. Doe was in college, he was charged with Disorderly Conduct for wrestling with
his roommate at 3:00 a.m. He was given a fine.
Substance Abuse
Mr. Doe said he had his first alcoholic drink when he was 19 years old. His heaviest
drinking occurred when he was in college, at which time he drank approximately five beers a
week. He never drank heavily and now has a drink approximately once a month. He reported
no drug use.
Medical
Mr. Doe states he takes medication for asthma and allergies. He was hospitalized a year
ago for treatment of a hernia which did not require surgery.
Mental Health/Psychiatric
Mr. Doe reports he was never diagnosed as having a mental illness and was never
psychiatrically hospitalized or treated for a mental illness. He states that he and his mother
“used to feud” when he was 23 years old. He was living at home at the time, so they went to
counseling with his mother’s best friend, who was the counselor. In January 2010, Mr. Doe
began counseling with another counselor, but after the third session, his psychologist said he
was not comfortable appearing in court, so Mr. Doe changed therapists. He is now seeing
another therapist. He said he also goes for group peer counseling at a church. His wife has also
been seeing a counselor since Mr. Doe’s arrest, and he has sometimes been involved in her
counseling.
98
Adult Environment and Relationships
Mr. Doe was married in June 2002 and the couple has two children, ages five and three.
He reported no history of serious financial problems (i.e., inability to provide for self or others,
incurred debts, credit misuse). He participates in a men’s fellowship group at church.
Sexual History
Mr. Doe entered puberty around age 11. He said he started dating when he was in high
school, at approximately 16 years old. His first sexual experience involving another person was
around age 17. His first sexual intercourse was at age 20. He said he has had “maybe 12”
sexual partners in his lifetime. He said his parents never hugged or kissed in front of the
children. He said he was never forced to engage in sexual activity against his will, and he never
forced anyone else to engage in sexual activity against their will.
For a three-year period prior to his arrest, he and his wife had sex approximately twice a
month. He said they were both satisfied with that, although he added, “At times, I wasn’t, but
I’m comfortable with it.” However, he later admitted, “I definitely wanted sex more often,” but
his wife “has not desired it as much.” He said he was in Chicago throughout the week, and he
was home on weekends. He did not masturbate until he was in 36 years old, and even then, he
stated, “I only did it a couple of times.”
Mr. Doe explained that his wife had a tubal pregnancy that ended due to the need to
surgically remove the fetus on August 21, 2009. He stated, “It affected me because we lost a
baby after trying to have a third child for almost a year.” He said that although they rarely had
sex, they tried to have sex every third day when his wife was fertile, so she would conceive. He
stated, “I still feel we lost a child.” Further, he said his wife suffered complications from the
surgery and has been medically disabled and required ongoing treatment as a result of her
surgery. He said all of these issues were sources of stress for both of them and significantly
interfered with their sexual relationship.
ACCOUNT AND ATTITUDE TOWARD CURRENT OFFENSE(S)
Mr. Doe stated that “Mary” and “Jane” were both in an adult chat room. He said their
conversations “heated up” on December 26. They talked about going to a hotel. He stated,
“Part of it was a blow job and not sex. I don’t get blow jobs. My wife doesn’t do that.” They
agreed to meet. He drove from work to another city. He said he was going to cancel it because
he was late for the meeting, and he knew there was no way he could meet with her and get
home on time.
PSYCHOLOGICAL TESTING RESULTS
Static-99
The Static-99, developed by Karl Hanson and David Thorton (1999), is a brief actuarial
instrument designed to estimate the probability of sexual and violent recidivism among adult
males who have already been convicted of at least one sexual offense against a child or nonconsenting adult. Its results generalize well to diverse populations, and research indicates it is
highly reliable and has good predictive validity. In fact, recent research indicates that it has the
highest validity of all sex offense risk assessment instruments. His score on this test fell within
99
the “low-to-medium” range as a prediction of his likelihood of committing another sexually
oriented offense within the next 15 years. Although the likelihood of committing another
sexually offense continues to rise beyond the 15-year limit, there is no test currently available
to make reasonably accurate predictions beyond this limit.
MMPI-2
Mr. Doe was administered the Minnesota Multiphasic Personality Inventory-2 (MMPI-2)
as an objective personality assessment. His test results were invalid and suggested an attempt
to appear more mentally healthy and stable than may actually be the case. However, nothing
more can be interpreted due to his highly defensive approach to the test.
MENTAL STATUS EXAMINATION
Appearance & Behavior
Mr. Doe is a 32-year-old white male with short black hair and a shaved face. He stated
that he is 5’10” tall and weighs 203 pounds. He was dressed in clean, casual clothes and wore
eyeglasses. He followed instructions and responded to questions. His movements were not
unusually slow or rapid, and he showed no signs of lethargy, excessive distractibility,
uneasiness, or hyperactivity. He maintained adequate eye contact. He was calm and his
behavior was not highly unusual or bizarre.
Orientation and Memory
Mr. Doe was aware of the time, place, and general circumstances for the present
evaluation. His memory and concentration were not impaired.
Speech and Verbal Ability
Mr. Doe’s speech was clear, coherent, and spontaneous, and he was responsive to
questions. He spoke in a normal tone of voice and at a normal pace. His vocabulary, sentence
structure, grammar, and use of abstract verbal concepts were above average.
Mood/Affect (Observable Signs of Emotion)
Mr. Doe showed no signs of acute anxiety, depression, fear, or other acute distress. He
smiled appropriately but did not laugh or cry. Significant changes in sleep, appetite, energy,
socialization, and interest in pleasurable activities are often signs of a mood disorder. He did not
report significant changes in any of these areas of functioning. His mood was appropriate to the
current circumstances and topics under discussion, and he did not meet the criteria for being
diagnosed with a mood disorder.
Perception (Hallucinations)
Mr. Doe stated he never experienced hallucinations, and he did not respond to
hallucinations during this evaluation (e.g., conversation, nods, unusual pauses in conversation,
glances, etc.).
100
Thought Content
Mr. Doe reported no current thoughts, plan, or intent of suicide or thoughts of harming
others. He revealed no delusional, irrational, or illogical thinking during this evaluation and
reported no bizarre beliefs such as mind control or thought insertion.
Thought Processes
There were no signs of psychotic thought processes. His judgment, as shown by his
personal history and responses to formal testing, was short-sighted. When asked what he
would do if he were the first person in a movie theater to see signs of a fire, he replied, “Yell,
‘Fire!’ or go and get a fire extinguisher.”
Personality Traits & Self-Description
Mr. Doe described himself as follows: “I’m confident, pretty well focused, supportive,
level-headed, probably compassionate at times, very loving.” He said he is not easily bored and
does not do risky or dangerous things just for the excitement or thrill of it. He said he loves his
wife and that his long-term goals are to support his family and travel.
Mental Status Opinion
Mr. Doe is not mentally retarded or mentally ill, and he has no known history of
substance abuse. He does not meet the criteria for Antisocial Personality Disorder or any other
personality disorder, and he is not psychopathic.
DISCUSSION AND OPINION
The purpose of the current evaluation is to assist the court in determining whether John
A. Doe should be classified as a sexual predator. According to the law in this jurisdiction,
“sexual predator” means a person who has been convicted of, or pleaded guilty to, committing
a sexually oriented offense and is likely to engage in one or more sexually oriented offenses in
the future.
Legal Criteria
Factors which should be considered in making this determination include the following:
(A)
The offender’s age:
Mr. Doe is 32 years old. More youthful offenders tend to have a higher likelihood
of recidivism. However, when older persons commit sexual offenses, their victims
are usually children. His risk is slightly decreased by this factor.
(B)
The offender’s prior criminal record regarding all offenses including, but not
limited to, all sexual offenses:
101
A person’s criminal history, especially his history of prior sexually oriented
offenses, is a very effective predictor of future offending. Mr. Doe had one
conviction for Disorderly Conduct when he was in college. He has no other
criminal history. His risk of recidivism is slightly increased by this factor.
(C)
The age of the victim:
Mr. Doe believed the victim was 14 years old. Research indicates that, overall,
persons who offend against adults are more likely to be convicted of future sex
offenses than offenders who commit sex offenses against children, although that
may be because offenses against children are less likely to be reported to police
and/or successfully prosecuted.
(D)
Whether the sexually oriented offense for which the sentence is to be imposed
involved multiple victims:
Mr. Doe believed he was communicating with two 14-year-old girls. His risk of
recidivism is slightly increased by the intensity of interest in the deviant sexual
activity. This can be measured by the time devoted to this activity and the
number of victims. His risk is slightly increased by this factor.
(E)
Whether the offender used drugs or alcohol to impair the victim of the sexually
oriented offense or to prevent the victim from resisting:
Mr. Doe did not use alcohol or drugs to impair the victims. However, research
has determined no relationship between this factor and the increased risk of
recidivism.
(F)
If previously convicted or pleaded guilty to any criminal offense, whether the
offender completed any sentence imposed . . . and if the prior offense was a sex
offense, whether the offender participated in available programs for sexual
offenders:
Mr. Doe has no prior convictions for sexually oriented offenses, and he has never
participated in sex offender treatment.
(G)
Any mental illness or mental disability of the offender:
Mr. Doe is not mentally ill or disabled.
(H)
The nature of the offender’s sexual conduct with the victim and whether it
demonstrated a pattern of abuse:
There were two victims, which suggests strong interest in this activity. However,
it is not clear whether the fact that there were two victims represents a pattern
of abuse.
102
(I)
Whether the offender displayed cruelty or made one or more threats of cruelty:
Mr. Doe did not use force or weapons, excessive force, or cruelty in the
commission of the offense.
(J)
Any additional behavioral characteristics that contribute to the offender’s
conduct:
(See “Recidivism Prediction and Psychological Research,” below.)
Recidivism Prediction and Psychological Research
The prediction of sex offense recidivism is a two-step process. First, the offender is
classified according to the type of sex offense that was committed (e.g., the relationship with
the victim, age, and sex of the victim). Based upon that classification, the “base rate,” or
average recidivism rate, for recidivism in that offense category is estimated. Next, based upon
his personal history and various psychological factors, the offender’s individual risk factors are
used to determine whether the offender’s risk of reoffending is significantly different from that
of the typical offender in his offense category.
Recidivism rates cited in research studies vary as the results of several factors, including
the length of the follow-up period, the definition of a repeat offense (e.g., accusation, arrest,
conviction), and whether the sex offenders were treated or untreated. Review of the research
suggests that the most credible estimates of recidivism rates based upon official documents,
concerning sex offenders whose victims are females who are not family members, range from
20% to 40%, with most estimates falling in the low 20%. The rate with teenage victims is
slightly higher than with children.
However, because many sexually oriented offenses are not reported, especially those
with child victims, the actual offense rate is estimated to be much higher than is reported by
official sources. For example, U.S. Department of Justice research indicates that only one out of
three sex offenses are reported to law enforcement authorities. Other victim surveys have
revealed even greater unreliability in the official data. Therefore, the actual base rates for sex
offense recidivism could be much higher than the data reported in court documents and other
official records. Further, recent research has shown that with child victims, the rate of
recidivism continues to increase for at least 25 to 30 years, and at 30 years, more than half the
child molesters reoffended. However, the recidivism rates quoted above were based upon the
preponderance of research rather than upon the one or two research projects that followed the
child molesters for 25 years or more. Therefore, the estimates provided here are likely to
underestimate the likelihood of recidivism among child molesters.
Individual risk factors of concern in this case include the following:
1.
Any prior criminal conviction is associated with an increased risk of sex offense
recidivism and is one of the best predictors of recidivism among this group of
offenders. Mr. Doe had one Disorderly Conduct conviction when he was in
college, which slightly increases his risk of recidivism.
2.
Mr. Doe was communicating with individuals who presented themselves as two
different teenage girls. The presence of multiple victims suggests increased
interest in this activity, which slightly increases the defendant’s risk of recidivism.
103
Based upon the above individual risk factors, it is my opinion that Mr. Doe presents a
low-to-medium risk of committing another sexually oriented offense. Mr. Doe represents a
particular type of offender whose primary sexual interest is toward consensual adult sexual
relationships. However, during a period of stress that is often due to work, finances, health, or
marital dysfunction, they engage in sexually inappropriate acts with adolescents or children.
This type of offender does not present as high a risk of recidivism as the offender whose
primary sexual targets are children. This opinion is consistent with test results (Static-99), which
categorize Mr. Doe as having a low-to-medium risk of recidivism within 15 years.
Amenability to Treatment
An offender’s amenability to treatment involves three components: (1) The offender
admits to his offending behavior and accepts full responsibility for it; (2) the offender sees his
offending behavior as a problem and wants to change it; and (3) the offender is willing to fully
participate in a sex offender treatment program. Based upon these criteria, it is my opinion that
Mr. Doe is amenable to treatment.
Research regarding the effectiveness of sex offender treatment is a highly controversial
issue. Most research suggests there is little or no reduction in recidivism following sex offender
treatment, although some treatment programs profess to have good results. It seems most
likely that successful participation in a specialized sex offender treatment program may result in
a slight reduction in an offender’s likelihood of committing future sex offenses only if the
offender participates in an appropriate type of treatment program (including multiple treatment
modalities such as individual, group, sex education, family treatment).
OPINION
Based upon this offender’s individual risk factors and his psychological testing results, it
is my opinion that he presents a low-to-medium risk of recidivism. Although he is currently
engaged in counseling, if Mr. Doe is referred for sex offender treatment, it is important that the
treatment provider have specific expertise in this area.
104
JOHN B. DOE 105
JOHN B. DOE
CASE SYNOPSIS
Demographics
•
•
•
•
•
75-year-old male
Currently married, nearly 50 years; 3 children
Retired (long-term, stable employment in paper company)
Stable residence, finances
Health problems (triple bypass, high cholesterol, emphysema)
Current Offense
•
Indicted on two counts each of Rape, Gross Sexual Imposition
o Victims were two granddaughters, ages 4 and 8 when offending began
o Occurred over a 2-year time period, multiple instances of having victims fondling and
performing fellatio on him
o Blames victims, indicates victims initiated and desired the contact
o Denies harm to victims, no evidence of remorse
o Pled guilty as charged
o Statutory penalties:
Rape: 3-10 years/$20,000 fine
Gross Sexual Imposition: 1-5 years/$10,000 fine
Criminal History
•
No prior record
Additional Background Information
•
•
•
•
•
Quit school during 8th grade, later obtained GED
Two years of military service, honorable discharge
No mental health or substance abuse difficulties
106
DETAILS OF THE INSTANT OFFENSE:
According to the prosecutor’s office and the county sheriff’s department, the following
details are known.
On December 30, 2009, the first victim stated to her mother that she had a secret with
her step-grandfather and that she could not tell or her granddad would not be able to play with
her anymore. She stated to her mother that her granddad makes her play with his thing that he
goes to the bathroom with or he won’t play with her and will go upstairs. At that time, the first
victim’s mother called the child abuse hotline to make a report. Further investigation revealed a
second victim. Through interviews with both victims and the defendant, it was revealed that the
defendant had the victims fondle his penis while at his residence and also had the victims put
his penis in their mouths.
On January 20, 2010, the defendant spoke to detectives at the county sheriff’s office.
At that time, he told the detectives that the victims are his granddaughters who would often
come over to his house to visit. He stated that the granddaughters also spent the night every
once in a while. He stated that they all played together. The defendant stated that the girls
would play in the basement a lot. The defendant stated that they would trade hugs before
playing. The defendant denied that he has ever asked the girls to masturbate him. The
defendant admitted to having the granddaughters fondle his penis and perform fellatio on him.
The defendant stated that he has no idea how many times this has happened. All the incidents
have happened at the defendant’s residence. The defendant stated that the last time the
granddaughters touched his penis was around Christmas in 2009. He stated that the children
engaged in these acts in the presence of one another approximately four, five, or even six
times.
The defendant stated that the last time he had the first victim touch his penis with her
mouth was around Thanksgiving of 2009, and the last time he had the second victim touch his
penis with her mouth was while in the swimming pool in his back yard during the summer
months of 2008. The defendant stated that he had pulled his penis out of his swim shorts while
the second victim was under water and when she came up he put his penis in her mouth. The
defendant made statements during the interview to the detective that he would like to borrow
his gun for a few minutes and “basically end this right now.”
CO-OFFENDER'S VERSION:
There is no co-offender in this case.
OFFENDER'S VERSION:
During an interview conducted on May 18, 2010, at the probation department, the
defendant gave the officer the following statement:
The defendant states that he was at home with his granddaughter, the second victim.
They were going swimming and went to change. He states that he went into his room and she
went into hers. He states that she burst into his room when he was undressed and needed help
with her bathing suit. The defendant states that this was two years ago. He states that this
happened three times where he had the victim touch his penis. The defendant states that the
first time it happened was the swimming incident when she burst into the room while he was
undressing.
107
The defendant states that she thought it was funny that she caught him naked and she
wanted to touch it. The defendant states that the second time she walked in on him she
wanted to touch it. The defendant states that this also happened with the first victim. He states
she put his penis in her mouth. The defendant states his granddaughters initiated the touching.
He states that the first victim told her mother she had a secret and her mother told her
she was not allowed to have secrets, and the first victim told her mom what was going on. The
defendant was not sure what the victim told her mother. The defendant states that the second
victim is one son’s daughter and the first victim is another son’s stepdaughter. The defendant
did admit to telling the victims one time that if they did not leave the treadmill alone, they
would have to touch “it.” The defendant described “it” as being his penis. The defendant states
the first victim kept on and wanted to touch it. He took it out of his pants for her to touch. She
said she wanted to taste it and put it into her mouth. The defendant states that it was not in
her mouth for very long at that time; and the second victim was in the room. The defendant
states that the girls were separate on the other occasions.
It should be noted that when interviewed, the defendant was very reluctant to give
information and would not be specific on details.
PRIOR RECORD:
Juvenile: There is no prior juvenile record.
Adult:
According to inquiries sent to area courts, another county justice center, another
county sheriff’s office, records of another state, another municipal court, police
department, and NCIC, the following adult prior record is known:
Date
Offense
Disposition
Ct. 1: Rape
Ct. 2: Gross Sexual
Imposition
Ct. 3: Rape
Ct. 4: Gross Sexual
Imposition
Instant Offense
MINOR TRAFFIC CONVICTIONS (ADULT):
None known.
PENDING CHARGES (ADULT):
None known.
SUPERVISION ADJUSTMENT (ADULT):
Does not apply.
108
The defendant denies being the member of a gang.
FAMILY HISTORY:
The defendant was born on December 25, 1935. The defendant lists the following family
members.
Father:
Mother:
Sister:
Sister:
Sister:
Brother:
Sister:
Sister:
deceased;
deceased;
age unknown;
age unknown;
age unknown;
deceased;
deceased; and
deceased.
The defendant states that his biological parents were married until their death. The
defendant denies being abused as a child.
MARITAL HISTORY:
The defendant states that he married on August 16, 1965. The defendant states that
this union remains intact today and produced three children.
A spousal history questionnaire returned by the defendant’s wife states, “John is quiet
and would do anything to help his children. He is very family-oriented and a good provider. He
has always been very good to me and our sons. He is very proud of his sons and their families.”
She further states, “We had a house fire about eight years ago and lost everything we
had, and he has never been the same since.” She states that he was considered to be the
perfect grandpa until this happened. She states that the kids will really miss their grandpa. She
states that she was never aware of what was happening between him and his granddaughters
and was as shocked as anyone. She states that she knows he needs help for this and hopes he
gets help. “We have attended church for years and I know he has done a lot of praying and
also recognizes the problem. This is really so out of character for him.”
RESIDENCE:
The defendant claims he currently resides in a three-bedroom house that he and his
wife own. The defendant denies the existence of any weapons or animals in the home.
The defendant states that he completed the eighth grade and received a GED. Inquiries
have not been returned from the Department of Education so this information has not been
verified.
109
MILITARY HISTORY:
The defendant states he was enlisted in the Army from March 1957 until March 1959.
The defendant states he was stationed at an Army Base, was ranked a Corporal, and was
honorably discharged.
The defendant is a 75-year-old male who claims to be in fair physical condition. The
defendant states that he has had open heart surgery and three bypass surgeries. The
defendant states that he is on Zocor for his heart. The defendant denies being examined by a
mental health professional and denies having made any suicide attempts.
The defendant denies the use of drugs and alcohol and denies being treated for drug
and alcohol abuse.
EMPLOYMENT HISTORY:
The defendant states that he is currently retired. Inquiries returned from his previous
employer indicate that “John Doe was an employee from October 9, 1965, until he retired on
February 1, 2000”. It states, “Mr. Doe was a machine tender on our paper machine at the time
of his retirement.”
The defendant receives approximately $1600 a month in retirement pension; has a
home valued at $309,000 and a 2004 Dodge Caravan as his assets. The defendant lists his
monthly financial obligations as $300. The defendant denies ever filing for bankruptcy.
****************************************************************************
VICTIM’S VERSION/RESTITUTION
According to the county prosecutor’s office, the victims in this case are Victim One, date
of birth 07-23-98, and Victim Two (no date of birth listed). A victim impact statement was
returned from the mother of Victim One. When asked about psychological injuries, she states
this is still to be determined because Victim One is so young and does not understand what
happened or why it was wrong. When she does understand, there could be a problem. She
states Victim One went to one session of counseling but was worried and upset about having to
testify. She states that counseling for problems related to the incident may be received later
when she has an understanding of the incident. The victim’s mother states, “He should
definitely never have any contact with Victim One or our family again. He should be
incarcerated so that he is unable to hurt other children. He should be incarcerated for the
remainder of his life – the same period of time his crimes will affect Victim One – the rest of her
life. She states, “Victim One lived in terror of having to testify when he originally pled not guilty,
and she was also worried that he will try to get back at her in some way for telling the secret. I
hope he will be incarcerated so that we can continue to live our life without fear.” It would
appear there is no restitution owed in this case.
110
A victim impact statement was returned from Mother Two, who is the mother of Victim
Two. When asked about psychological injuries, she states, “It is hard to determine the
psychological impact this has had or will have on her daughter.” She states that her daughter
“feels a lot of guilt.” Victim Two has done well with counseling. She states that her daughter
has missed going to her grandparent’s house and her routine has been disrupted. The family is
trying to maintain a relationship with her grandmother. The family is “hurt and angry.” She
states, “I do not believe he is a horrible person, but I do believe he has made some horrible
decisions.”
111
PSYCHOSEXUAL EXAM
JOHN B. DOE
John B. Doe was referred for a psychosexual examination, after a verdict and
As the result of a plea agreement, the State agreed to dismiss the life specification on the Rape
charges, and Mr. Doe pleaded guilty and was adjudicated guilty to two counts of Rape, a first
degree felony; and two counts of Gross Sexual Imposition, a third degree felony.
Mr. Doe was informed of the purposes and non-confidential nature of the evaluation and
agreed to participate in the evaluation. He was clinically interviewed at this psychologist’s office
on June 28, 2010, for one hour.
1.
2.
3.
4.
Court documents regarding this case, including Indictment,
February 4, 2010, Bill of Particulars, February 29, 2010, State’s
Answer to Defendant’s Request for Discovery, February 19, 2010,
Plea of Guilt and Jury Waiver, May 19, 2010, entry Ordering
Sexual Offender Assessment, May 20, 2010;
County Sheriff’s Office investigative reports, including Summary of
Defendant’s Oral Statement, Defendant’s Voluntary Statement,
Witness Statement of Granddaughter A, State Uniform Incident
Report;
Results of the Minnesota Multiphasic Personality Inventory – 2
(MMPI-2); and
COLLATERAL INFORMATION
Mr. Doe was charged with two counts of Rape and Gross Sexual Imposition against two
of his granddaughters, Granddaughter A and Granddaughter B. The offense against
Granddaughter A occurred from July 2007 through December 2009, when she was eight
through 10 years old. The offenses against Granddaughter B occurred from July 2008 through
December 2009, when she was four and five years old.
Mr. Doe admitted that Granddaughter A visited often at his home, and they frequently
played games and traded hugs. He denied ever asking her to masturbate him, but later
admitted he had Granddaughter A fondle his penis and perform fellatio on him. He said he had
no idea how many times that happened, but he believed the last time was around Christmas
2009. He said they also engaged in these acts in the presence of each other many times. He
also said that the last time he had Granddaughter A touch his penis with her mouth was while
they were in the swimming pool at his home in the summer of 2008. He said he pulled his penis
out of his pants while Granddaughter A was under the water, and as she came up, he put his
penis in her mouth. He said several times during the interrogation that he wanted Det. Officer’s
gun to “basically end this right now.”
112
According to Asst. Prosecuting Attorney John Smith, John Doe is Granddaughter A’s
grandfather. Granddaughter A’s father was previously classified as a sexual predator and had an
evaluation completed through Catholic Social Services in 2000 after he sexually fondled young
girls. However, Granddaughter A’s father has never admitted to the offenses, and his family has
always insisted he was not guilty.
The following social history was provided by the defendant, except as indicated
otherwise.
Family of Origin
John B. Doe was raised in Kentucky by both biological parents along with seven sisters
and one brother. Mr. Doe’s parents are deceased. His father was a mechanic, and his mother
was a homemaker. Mr. Doe said neither parent had a history of criminal charges or convictions,
drug or alcohol abuse, psychiatric problems, or suicide attempts. He said that as a child, he
“had a happy home life” and was not mistreated, neglected, or abused. Mr. Doe said that as far
a he knew, none of his biological family members were ever diagnosed with a mental illness. He
lived with both natural parents until he was 20 years old, but he kept returning whenever he
lost a job. He did not leave completely until he was 28 years old and got married.
Education
Mr. Doe completed the seventh grade and most of the eighth grade. He quit school after
he had an accident and injured his eye. He said his optometrist warned him he would go blind if
he did not quit school because of the eye strain. He earned a G.E.D. while he was in the Army.
Jobs/Occupation
Mr. Doe enlisted in the U.S. Army in March 1957 and was honorably discharged in 1959.
His primary occupation was running a paper machine until he retired at the age of 65.
Criminal History
Mr. Doe reported no previous arrests as a juvenile or as an adult, except for minor
traffic tickets.
Substance Abuse
Mr. Doe said he had his first alcoholic drink when he was 15, and has never had another
alcoholic drink. He reported no history of drug use or abuse.
Medical
Mr. Doe reported he takes medication for cholesterol and uses an inhaler for
emphysema.
113
Mr. Doe reported he was never diagnosed as having a mental illness and was never
psychiatrically hospitalized or treated for a mental illness.
Mr. Doe was married at the age of 28, and the couple is still married. He has three sons
and four grandchildren, and one step-granddaughter. The victims, Granddaughter A and
Granddaughter B, are now 10 and five years old. Mr. Doe said he had frequent contact with his
grandchildren and was often their babysitter when the children’s parents needed help. He has
continued to have contact with his grandchildren, but only when their parents can supervise the
visits.
Sexual History
Mr. Doe started dating around age 14 or 15. His first sexual intercourse was as an
adolescent, but he could not recall his age. He estimated he has had approximately six sexual
partners in his lifetime, one of which was a one-night stand. He said he has never been
unfaithful to his wife.
Approximately eight years ago, his house burned down and he lost everything. Through
insurance, they bought another house. He said his wife told him that he “wasn’t himself
anymore; that I started changing then.” He said that before the fire, “I seldom ever got mad. I
just took my time and I was easygoing. Now, I don’t have the patience that I used to have” and
he “gets angry really easily.” He added, “Different ways, I’m not as considerate as I used to be,
she says.” He said he sometimes notices these changes, especially when he thinks about things
that he lost which can never be replaced because they were family heirlooms from generations
ago.
Mr. Doe said he has never engaged in voyeurism or exhibitionism and has never
collected sexually oriented books, magazines, or video tapes. He reported no history of sexual
problems or concerns that interfered with his life or relationships (i.e., premature ejaculation,
impotence, fetishes). He said he was never forced to engage in sexual activity against his will,
although he said that some neighborhood boys “attempted, but I didn’t let them do nothing.”
He said he has never forced anyone else to engage in sexual activity against his or her will,
including these offenses.
ACCOUNT OF CURRENT OFFENSE(S)
According to Mr. Doe, he has an above-ground swimming pool in his backyard, and
Granddaughter A liked to swim with him. He said that, one day, she accidentally entered his
room while he was changing into his bathing suit and she saw him naked. He energetically
stated, “She thought that was the greatest thing to catch me like that!” He said her bathing suit
was tangled and while he was trying to untangle it, she touched his penis without his
encouragement or permission. He then covered himself with a towel. He said that nothing
happened again for years after that. He said there was also a second “accident” while they
were in the swimming pool. He stated, “I’m stupid for doing it and I’m greatly ashamed of it,”
but Granddaughter A showed him that she could dive under water and touch his penis.
However, he said it was all her idea and quite a surprise to him. He stated, “I think she
114
squeezed it with her fingers as she went by.” Inconsistent with his previous statements to
police, he said that there were only these two accidental occurrences.
Regarding the younger granddaughter, Granddaughter B, he said when she was almost
four years old they were in the basement of his home. She entered the bathroom while he was
urinating, and she accidentally saw him naked. His account of this reported “accident” was
presented with the same enthusiasm as with the other granddaughter. He stated, “She saw me
then and she thought that was something great!” He said there was one other time, when they
were in his basement, and she wanted to play on the treadmill. Granddaughter B and
Granddaughter A wanted to play with it, but he would not allow them. However, he told
Granddaughter B, “Before you can play with that, you have to touch me.” He said
Granddaughter A did it, then quit, “but Granddaughter B wouldn’t quit. She said, ‘I wonder
what it would taste like,’ and before I could possibly move, she had it in her mouth.” This was
highly inconsistent with his previous statements. He said there were no other incidents with
Granddaughter B. He was asked what effect his behavior had upon his granddaughters. He
replied, “I don’t think it bothered either one of them. Couldn’t tell no difference in either one of
them.”
Then Mr. Doe was asked to talk about his son’s sex offense conviction. He was informed
that many acts of incest are trans-generational. After the father molests the children, the
children then molest other children. He was asked if this was the case in his family. He replied,
“I wish I knew what’s going on. I knew better than to do that, but Granddaughter B just kept
on. I thought if I just let her look at it and play with it, we’d just go on and have a good time.”
When asked if he believes his son may have sexually molested any other family members, he
said that his son would never do that because he is “too crazy about his children.” Mr. Doe was
reminded he had said he was also crazy about his grandchildren, yet he sexually molested
them. He replied, “That was an accident.” Further, Mr. Doe blamed the girls and claimed they
initiated all sexual contact with him. Additionally, he said his son was convicted of molesting his
sister-in-law’s daughter, not his own children. Mr. Doe was asked how he feels about what he
did to his granddaughters, and he replied, “I think it’s unfair. I don’t think they should take
years out of my life.”
Mr. Doe was asked at the end of the evaluation if he had anything to add. He stated,
“Just that I think that it’s unfair. If I’d of had complete control before Granddaughter B, she
would have never done so. It would have never been permitted. The way it happened, it was
just so fast. That child is so fast, I just didn’t have any control of it. As soon as I knew what
was happening, I jumped back. Granddaughter B and I have been together since she was in
diapers. I took her to soccer. This is the first time this happened to me.” However, it should be
noted that this did not happen to him. It is something he chose to do repeatedly to his
granddaughters. When asked if he understood what he did wrong, he replied, “Letting them
touch me and letting Granddaughter B see what it tasted like – I had no control over that. It
happened too quickly. Same with Granddaughter A. She just grabbed it by her fingers as she
went by, a tenth of a second, but I’m gonna pay for it.”
MMPI-2
Mr. Doe was administered the Minnesota Multiphasic Personality Inventory – 2 (MMPI2). His test results were considered valid. Individuals with similar test results have been
described as anxious and depressed. When stress and anxiety become intolerable, they may
115
present as depressed, self-deprecating, and dependent. They worry and ruminate, often
concerning feelings of guilt for wrongdoings. They tend to report significant changes in sleep,
appetite, and energy. They experience poor concentration and lack of motivation and interest in
activities that previously interested them.
Static-99
The Static-99, developed by Hanson & Thornton (1999), is a brief actuarial instrument
that was designed to estimate the probability of sexual and violent recidivism among adult
males who have already been convicted of at least one sexual offense against a child or nonconsenting adult. Its results generalize well to diverse populations, and research indicates it is
highly reliable and has good predictive validity. Mr. Doe’s score on this test falls in the low risk
category.
Appearance
Mr. Doe is a 75-year-old white male with graying hair, balding on top. He had a clean
shave, was dressed in casual clothes, and wore eye glasses. He presented a somewhat fragile
appearance, stating he weighed 154 pounds and had lost at least 10 pounds since February
2010.
Behavior
Mr. Doe followed instructions and responded to questions. His movements were not
unusually slow or rapid, and he sowed no signs of lethargy, excessive distractibility, uneasiness,
or hyperactivity. He maintained adequate eye contact. He appeared calm, and his behavior was
not highly unusual or bizarre.
evaluation. His memory and concentration were not significantly impaired.
structure, grammar, and use of abstract verbal concepts were within approximately average
range.
Mr. Doe smiled appropriately and sometimes cried when he talked about his relationship
with his grandchildren and about being unable to plant a large garden this year because he may
be sentenced to a period of incarceration. He described his recent mood as “depressed. I’ve
been feeling awful.”
116
Significant changes in sleep, appetite, energy, socialization, and interest in pleasurable
activities are often signs of a mood disorder. Mr. Doe reported slightly decreased sleep, a
significant loss of weight since his arrest, and decreased energy. However, he has been able to
concentrate and rarely has crying spells. He spends his days working around the house and the
yard, which suggests his energy is sufficient for those tasks. Although mildly depressed, his
mood was appropriate to the current circumstances and to the topics under discussion, and he
did not meet the criteria for being diagnosed with a mood disorder.
Mr. Doe stated he never experienced hallucinations, and he did not respond to
glances, etc.).
Thought Content
reported no bizarre beliefs such as mind control or thought insertion. He demonstrated no
insight to his offending behavior or its adverse consequences on the victims, and he shows no
signs of empathy or remorse for his offenses. Like most sex offenders, he denied and minimized
the nature of his sexual offenses, despite all evidence to the contrary.
Thought Processes
There were no signs of psychotic thought processes. However, Mr. Doe demonstrated
immature and self-centered judgment by engaging in ongoing sexual activities with two of his
granddaughters, several times while both victims were present, and by providing inconsistent
information to police and to this psychologist even after being told I had read the police reports.
Mr. Doe described himself as follows: “Up until you get acquainted with me, you’d think
I was stuck up. I was so shy . . . after you get acquainted with me, everybody says I’m a pretty
good guy. Getting acquainted is the hardest thing to do.” He stated he loved his wife and that
love means “being willing to do things for her, have real strong feelings for her.” When asked
about his life goals, he replied, “Right now, Honey, my life is behind me. I was just trying to
live, get by as well as I could, until the end. See that my boys all got started good and live all
right.”
B. Doe should be classified as a sexual predator. According to the law of this jurisdiction,
“sexual predator” means a person who has been convicted of, or pleaded guilty to, committing
a sexually oriented offense and is likely to engage in one or more sexually oriented offenses in
the future.
117
Legal Criteria
Factors which were considered in making this determination include the following:
(A)
Mr. Doe is 75 years old. More youthful offenders tend to have a higher likelihood
of recidivism. His risk is slightly decreased by this factor.
(B)
offenses, is a very effective predictor of future offending. Mr. Doe has no prior
criminal record. His risk of recidivism is not increased by this factor.
(C)
The age of the victims:
The victims were between the ages of four and 10 during the period when the
offenses occurred. Research indicates that, overall, persons who offend against
adults are more likely to be convicted of future offenses than offenders who
commit sexual offenses against children, although that may be because offenses
against children are less likely to be reported to police and/or successfully
prosecuted.
(D)
There were multiple victims. The number of victims and the chronicity of the
offenses are signs of his intensity of interest in the deviant sexual activity, and
his risk is increased by this factor.
(E)
Mr. Doe did not use alcohol or drugs to impair the victims. However, research
has determined no relationship between this factor and the increased risk of
recidivism.
(F)
offenders:
participated in sex offender treatment. His risk is not increased by this factor.
118
(G)
Mr. Doe is not mentally ill or disabled. His risk is not increased by this factor.
(H)
There is a pattern of abuse that has been occurring with two different victims
over a lengthy period, between July 2007 and December 2009. His risk is
increased by this factor.
(I)
commission of the offense. His risk is not increased by this factor.
(J)
conduct:
There are no other risk factors in these offenses.
Mr. Doe’s risk factors listed above include having multiple victims over a lengthy period.
This is a pattern that is reflected by the intensity, frequency, and chronicity of his deviant
sexual behavior.
Recidivism Prediction and Psychological Research
classified according to the type of sex offense that was committed (e.g., relationship with the
victim, age, and sex of the victim). Based upon that classification, the “base rate” or average
recidivism rate for recidivism in that offense category is estimated. Next, based upon his
personal history and various psychological factors, the offender’s individual risk factors are used
to determine whether the offender’s risk of reoffending is significantly different from that of the
typical offender in his offense category.
the length of follow-up period, the definition of a repeat offense (e.g., accusation, arrest,
concerning sex offenders whose victims are female family members (including grandparents
who have close involvement with the children), range from 4% to 10%, with most estimates
falling around 10%.
However, because many sexually oriented offenses are not reported, especially those
with child victims, the actual offense rate is estimated to be much higher than is reported by
official sources. For example, U.S. Department of Justice research indicates that only one out of
three sex offenses are reported to law enforcement authorities. Other victim surveys have
revealed even greater unreliability in the official data. Therefore, the actual base rates for sex
offense recidivism could be much higher than the data reported in court documents and other
official records. Further, recent research has shown that with child victims, the rate of
119
recidivism continues to increase for at least 25 to 30 years, and at 30 years more than half the
child molesters committed another sexually oriented offense. However, the recidivism rates
quoted above were based upon the preponderance of research rather than upon the one or two
research projects that followed the child molesters for 25 years or more. Therefore, the
estimates provided here are likely to underestimate the likelihood of recidivism among child
molesters.
SUMMARY AND OPINION
Based upon the base rate for this type of offense, this offender’s individual risk factors,
and his psychological testing results, it is my opinion that Mr. Doe presents a low-to-moderate
risk of committing one or more sexually oriented offenses in the future. However, given his
refusal to accept responsibility for his actions, it is my opinion that he should never be
permitted to be around young children unless he is closely supervised by another adult who
believes that he was guilty of these offenses, and that none of his actions in these offenses
were accidental.
120
JOHN C. DOE 121
JOHN C. DOE
CASE SYNOPSIS
Demographics
•
•
•
•
•
19-year-old male
Single, no current relationship
Resides with parents
Was employed in construction; currently in jail
No independent finances
Current Offense
•
Indicted on one count each of Sexual Battery and Tampering with Evidence
o 16-year-old female victim
o Involved a co-defendant
o Victim was intoxicated and passed out at party; cunnilingus and digitally penetrated
victim, disposed of (burned) victim’s underwear afterward
o Offender was using alcohol and marijuana at the time of the offense
o Admits to behaviors; some evidence of remorse
o Found guilty by jury as charged
o Statutory penalty:
Sexual Battery: 1-5 years/$10,000 fine
Tampering with Evidence: 1-5 years/$10,000 fine
Criminal History (Juvenile Record)
•
•
•
•
•
Petty theft
Driving without a license
Drug paraphernalia
Violation of court order (failed drug test, refused to participate in drug treatment)
Traffic violations
•
•
•
•
•
Quit school during 11th grade, later obtained GED
History of alcohol, marijuana use/abuse
No mental health, health difficulties
122
According to the county prosecutor’s office and the county sheriff’s department, the
following details are known about the instant offense:
On or about January 24, 2010, the victim in this case, date of birth May 27, 1994, was
at a party and had been drinking. She laid down in a bedroom and both offenders, Offender
One and Offender Two (co-offender) came into the room. The victim was found passed out
with no clothing from waist down and blood in the vaginal area. She stated that she remembers
hearing the suspects talk about performing oral sex on her. She also stated that she remembers
them talking about vaginally penetrating her digitally. She was not sure if they used their
penises or not. The victim stated that she never drank before and was a virgin. Witnesses
overheard the suspects talking about having done some things to the victim since she was
passed out.
As to Count 1: The offender, Offender One, engaged in digital penetration of the vagina
and cunnilingus with the victim when the offender knew the victim was intoxicated.
As to Count 2: The offender, Offender One, burnt boxer shorts worn by the victim after
he engaged in sexual conduct with her while she was intoxicated.
The co-offender in this case is Offender Two. It should be noted that the co-offender is
a juvenile and was convicted of Gross Sexual Imposition and Attempted Tampering with
Evidence in Juvenile court. The co-offender made the following statement about the instant
offense to the county sheriff’s office:
I had gotten to my house and there were more people than I wanted, a lot that I did
not invite or know. I said to my friend, Andrea, that I was going to lay down in my dad’s bed.
He had told Victim, from what I understand, because she came in and asked if she could lay in
there with us. I told her she could if she wanted to, so she said she was going to. I was
drinking and so was everyone else. At one point in the night, some people that I don’t know
were smoking pot and Victim was too. She had gone skinny dipping with some other people.
She and Offender One took a shower upstairs. While other people were in my dad’s room
looking for towels, I came downstairs and mentioned that I was going to bed and Andrew was
too, so Victim said she was going to lay down at that time as well, and we laid down and turned
and snuggled. Andrew said he wasn’t tired yet so Offender One said that he was tired so he laid
down. Victim and I had started kissing. As we were kissing, Offender One put his hands down
under the covers and I guess started fingering her and I said, Victim, I am going to leave and
she said, “No, [Offender Two], don’t leave.” I asked if she wanted me to stay and she said,
“Yes.” I then immediately asked her while we were kissing if she was having fun and she said,
“Yes.” Offender One had gotten down under the covers and then I was uncomfortable and told
Victim I was going to leave. She grabbed me and told me that she wanted me to stay and I
asked her, “Are you having fun?” and she said, “Yes.”
I then went down and fingered and slightly licked her in that area for about two
minutes, hardly even that long, and then I came up. Offender One walked out and me and
Victim kissed for a second and I slightly fingered her for a second. I stopped and she somewhat
cuddled with me and I dozed off for a moment, then Offender One came in and got on the bed
and it kinda woke me up from my light sleep. Offender One started putting his hands under the
cover and fondling her. I said to Offender One, “She is sleeping,” and then he said he was
going to or wanted to, I can’t recall having sex with her and I said, “No, Offender One, you
123
can’t do that, she is asleep,” so he took the same hand he was fondling her with and slightly
shook her face to wake her up and I noticed there was some period blood that Offender One
got on his hand that had wiped on her face when he touched it and I said that there was some
blood on her face from his finger and there was a little bit on my left finger. I washed my hand,
so did Offender One, then we walked out and told Robbie and Andrew that there was period
blood and they walked back in the room with us. I washed it off her face and she woke up
about two minutes later and was concerned that there was a little bit of blood on the sheets
(one little spot) and I had talked to her and told her that it was okay and nothing happened
that she didn’t know about. I left the room and had Amanda go and talk to her for a short
second. Amanda walked out with the sheet and the white spread that was under it and told me
to wash them because there was some blood on them so I did. I then talked to Victim to try to
make sure she was alright. I stated that nothing happened that she didn’t want, and she said
she knew that, and I said again that nothing else went on, and she said, “Okay,” and that we
were still friends; she then left.
OFFENDER'S VERSION:
The offender gave the following written statement to the county sheriff’s office
regarding the Instant Offense:
We were all over at my buddy’s house drinking, having a good time. Around 11:30 or so
some more people arrived including Victim and her friends. We were all out on the back deck
drinking. We all decided to get in the pool skinny dipping. We swam for a while then everybody
got out. Victim decides to go get in the shower to wash the pool water off. I walk upstairs to
see what’s going on because everybody was gathered around the bathroom door watching
Victim shower. I looked in and she says, “Get in with me.” So I get in; we’re messing around;
she’s touching me and I’m touching her. While we are in the shower she says, “I’ve heard
about you and Andrew.” I said, “What did you hear?” She says, “That you’re hung – that’s why
I wanted you to get in with me.” I’m still in my underwear and she’s just in her panties. We get
out of the shower and start partying some more. After a while the party starts to die down. I
see Andrew walk into the room first with Victim; after a while he comes out, so I walked in
there to see what’s going on and when I walked in Victim tells me to “come lay down with her.”
Offender Two (co-offender) was in there with her already. I lay down and Victim proceeds to
start rubbing on me so I proceed to start fingering her and Offender Two was making out with
her at the same time. Then I took off her boxers and started eating her out. About 15 minutes
of this I get up and start to walk out. She grabs my arm and tells me to stay with her. About 10
minutes later I just get up and walk out. I started to drink some more.
Then I come to realize that Victim is in there crying. I go in there to talk to her and she
screams at me and tells me to “get the fuck out.” Offender Two was in there talking to her.
That’s the last time I talked to Victim.
The offender gave the following voluntary written statement to this officer regarding the
pre-sentence investigation:
“I was at a party with a bunch of people and me and this girl were messing around all
night. My buddy went into the room first and I started messing around with her, then I come
in. We started messing around during some point she passed out that I wasn’t aware of. She
woke up crying and flipped out.”
Tampering with Evidence: “She had some boxer shorts on; I took them off. After we
were done I asked the owner of the shorts if he wanted them; he said, “No,” so I threw then in
a fire pit.”
124
The offender states they were all at a party and they jumped into a pool. They were
smoking marijuana and drinking alcohol and got into the shower and were naked. She then got
out of the shower and went into a room and Offender Two (co-offender) went into the room
with her. He walked in and Offender Two was having sexual activity and he states the victim
was awake. He began kissing her and she was kissing him back. He fingered her and had oral
sex. Offender One states he heard a knock on the door and left the room and people came into
the room and the victim started screaming for him to get out. He reports a few days later a
detective showed up at his house.
PRIOR RECORD:
Juvenile
According to the juvenile court, the offender has the following prior record as a juvenile:
Date
Offense
Disposition
12/15/08
Petty Theft
Drug Screen; Work
Program
05/13/09
No Driver’s License
Probation; Court
Costs; Drug Screen
and Alcohol
Evaluation
08/16/09
Drug Paraphernalia
Violation of Valid Court
Order
No action taken
MINOR TRAFFIC CONVICTIONS (JUVENILE):
The offender has been convicted of three offenses in Juvenile court: Speeding;
Windshield Violation; and Expired Plates.
SUPERVISION ADJUSTMENT (JUVENILE):
The offender was placed on probation as a juvenile. This probation was violated for
refusing to attend Drug and Alcohol Treatment. The offender tested positive for marijuana and
cocaine. The offender turned 18 years old while on probation. He was then released and
referred to Adult Intensive Outpatient Treatment. The offender again refused to go. It appears
the offender disregarded probation as a juvenile.
125
ADULT
According to records, the offender has the following criminal record:
Date
Offense
Disposition
07/24/10
Sexual Battery
Tampering with Evidence
Instant Offense
The offender has been convicted of minor traffic violations as an adult for the offense of
Speeding and Traffic Control Lights.
The offender has no known pending charges.
It appears this is the offender’s first felony conviction. It should be noted during the presentence investigation questionnaire interview that the offender broke down and started crying.
At that point the offender stated that he “cannot take this anymore” and walked back to his
cell. At that time this officer notified the correction officer that was on duty and explained to
him what the offender had said. It appears the offender is apologetic and he states, “I would
like to have contact with the victim so I can truly express how sorry I am for what I have done
to her.”
The offender has no affiliation with a gang.
FAMILY HISTORY:
The offender was born on August 3, 1991; the union of his mother and father produced
six children. Significant family members include:
Father: 55, employed as a supervisor;
Mother: 47, employed at the local steel company;
Sister:
31, employed as a machine operator;
Sister:
31, employed as a baby sitter;
Sister:
29, employed as a registered nurse;
Sister:
27, employed as a registered nurse; and
Sister:
25, employed as a lab technician.
It should be noted the offender reports a good upbringing and a strong family. The
offender reports no forms of abuse.
126
MARITAL HISTORY:
The offender has never been married, is not currently in a relationship, and has never
fathered any children.
RESIDENCE:
The offender is currently in the county jail. He reports his legal residence as the dwelling
owned by his parents, which is described as a five-bedroom house. The offender has lived there
for 19 years. Others in the dwelling are his mother and father. The offender reports there are
no animals in the home and there is one 12-gauge shotgun and one flare gun in the home.
The offender attended high school and reports he completed the 11th grade. The
offender reported he received his GED on March 1, 2010 at the high school. This officer
received an educational inquiry returned from High School which reads as follows: The
offender withdrew on January 17, 2009, and earned primarily low average grades. This officer
verified the offender received his GED.
MILITARY HISTORY:
The offender denied ever serving in the armed forces.
The offender rates his health as excellent. The offender is currently not under a doctor’s
care and has never been seen by a mental health professional.
The offender began using alcohol and drugs at the age of 17. The offender has smoked
marijuana on an occasional basis, last using February 2010. The offender reports he has never
had treatment for drugs or alcohol. However, this is not accurate; see juvenile supervision
adjustment.
This officer received a social history questionnaire from the offender’s mother and father
that reads as follows:
The offender has had a normal mental development. The offender received his GED.
The offender was in one fight at the age of 15 or 16 and that is the only time he has been
violent toward another person. They described their relationship with the offender as very
close. “We have a very close family; all the children are very protective of each other.” The
mother and father state they would be willing to offer anything that he needs to get his life
going again. “We have a job commitment from a potential employer.” The mother and father
reported no family history of drugs or alcohol and describe the offender’s greatest struggle as
“he doesn’t like having idle time; he needs to keep himself busy.” His mother and father state
he is clear-thinking and a problem-solver when it comes to problems and crisis situations. Under
additional remarks they write, “Offender is a very smart, sensitive kid who made a bad choice.”
127
EMPLOYMENT HISTORY:
02-10 to 04-10
Employed as a hod carrier laying bricks, earning $8.00 per hour. The
reason he left this job was because he was put in jail for the instant
offense.
The offender has no financial assets or financial obligations. The offender has never
declared bankruptcy.
****************************************************************************
The victim in this case has a date of birth of May 27, 1993. The victim gave the
following written statement to the county sheriff’s office:
“Kristin, Ashley, and I got to Offender Two’s (co-offender) house at about 2:00 a.m. on
Saturday, January 24, 2010. Everyone was drinking and I thought I would try it. So I started
drinking. The first thing I drank was 99 Blackberries and then followed that with Bacardi O.
Offender One was the one who gave me the Bacardi O. I drank a good amount of that. By that
time I was slightly drunk. Offender Two gave me Smirnoff and a beer. That was the last thing I
drank. Being drunk, I was acting goofy and I decided to jump in the pool. The pool smelled
awful so I decided I was going to take a shower to try to get the smell off. While I was in the
shower, Offender One came in the bathroom and got in the shower with me. I told him to get
out, but he didn’t, so I told him not to touch me and he didn’t. After I got out of the shower I
got dressed and went to the bedroom to go to sleep. Andrew made sure I was okay and let me
in there to sleep. Once Andrew had left, Offender Two and Offender One came into the room
and locked the door. I didn’t think about it. I thought Offender Two was just going to go to
sleep too. Offender One got in the bed as well. I didn’t really worry about Offender One
because I felt safe with Offender Two there. I thought he would protect me. I wasn’t
completely conscious but I could hear everything. Offender One was telling Offender Two that
he was going to do things to me but Offender Two didn’t say anything – he was talking to me.
Offender Two kept asking me if I wanted him to leave, and I said, “No,” because I didn’t want
to be alone with Offender One. At this time Offender One started touching me down there.
Offender Two just kept asking me over and over again if I wanted to leave. He was distracting
me then I remember Offender One saying, “I’m gonna fuck her, I have a condom,” and
Offender Two said, “No,” but Offender Two was doing stuff too. This the last thing I remember
until I was awaken by Offender One and Offender Two laughing, and then Amanda walked in
and kept asking them what they did. There was blood everywhere – all over me, all over the
sheets. Amanda said, “We have to clean you up.” She pulled or helped me up out of the bed.
At that time I was crying because I didn’t know what happened to me. I got cleaned up and put
my clothes on and went out to the car. Offender Two came out to my car as I was leaving and
asked me if I was going to press charges and saying all this stuff to me. I blew him off and left.
128
PSYCHOSEXUAL EXAM
JOHN C. DOE
John C. Doe was referred for a psychosexual examination, after a verdict and
Mr. Doe was found guilty by a jury of Sexual Battery and Tampering with Evidence. Mr. Doe
was informed of the purpose and non-confidential nature of the evaluation and agreed to
participate in the evaluation. He was clinically interviewed at the county jail on November 19,
2010, for one hour.
1.
2.
3.
4.
5.
6.
Court documents regarding this case;
Sheriff’s Office investigative reports;
State Hospital records regarding victim;
Transcript testimony of victim and detective;
Results of the Minnesota Multiphasic Personality Inventory – 2 (MMPI-2); and
The following social history was provided by the defendant, John C. Doe, except as
indicated otherwise.
Family of Origin
John C. Doe was raised by both biological parents along with five older sisters. His
mother works at a specialty business and his father is a supervisor at a paper mill. Neither
parent had a history of drug or alcohol abuse, psychiatric problems, or suicide attempts. He said
his father was convicted of Burglary at age 18, but neither parent has any other criminal record.
As a child, Mr. Doe stated he was “treated good – spoiled actually,” and that he was not
mistreated, neglected, or abused. None of his biological family members was ever diagnosed
with a mental illness. He lived with both natural parents until he was 17 years old when he
went to live with his grandmother for a month because he and his mother were not getting
along. From there, he moved into his brother-in-law’s house for two months, then moved back
into his parents’ home where he was living until the time of his incarceration.
Education
Mr. Doe completed the eleventh grade then quit school. He participated in football and
baseball from the ninth through eleventh grade. He explained he always stayed up very late
then could not wake up on time for school the next day, so he was frequently late for school
and getting into trouble for it. Finally, he got tired of it and quit school. He earned a G.E.D.
when he was 18 years old.
129
Jobs/Occupation
Mr. Doe stated he has always done construction work and was employed until the time
of his trial. He has no record of military service and was never fired or asked to leave a job.
Criminal History
Mr. Doe stated he had no juvenile criminal record. His only previous adult record was
three or four speeding tickets.
Substance Abuse
Mr. Doe stated he had his first alcoholic drink when he was 16 years old. His heaviest
drinking began when he was 18 years old after he stopped attending school, at which time he
drank a couple beers once or twice a week. That remained his pattern through the time of his
incarceration. He also smoked marijuana two or three times a month.
Medical
Mr. Doe had surgery on his shoulder in July 2008 but reported no other serious illness or
injuries. He reported no current medical problems and was not taking medication at the time of
this evaluation.
Mr. Doe stated he was never diagnosed as having a mental illness, and was never
psychiatrically hospitalized or treated for a mental illness.
Mr. Doe was never married and never lived with a romantic/sexual partner. He had a
17-year-old girlfriend whom he dated for a year before his arrest. He has no children. He said
the important people in his life now are his parents, sisters, and brother-in-law. He still has two
friends but feels his other friends have abandoned him since his arrest. His friends are a 22year-old neighbor and another friend since sixth grade. He believes they are both positive
influences on him. He said he does not feel lonely, and it is easy for him to make friends.
Sexual History
Mr. Doe saw a sexually oriented magazine when he was eight or nine years old, when
he and some friends took it from his father’s collection. He started dating when he was in the
eighth grade. He entered puberty earlier than most of his friends and started masturbating
around the same time. His first sexual intercourse was at age 16 or 17 with a girl the same age.
He has had five sexual partners in his lifetime, of which two were one-night stands, but none
were prostitutes, males, or more than four years younger than Mr. Doe.
Mr. Doe first viewed Internet pornography when he was 17 years old and usually finds
his preferred websites by using search words such as “sex” and “blondes.” He has downloaded
130
pornographic video clips, all of which were what he called “hard-core adult” sites and none of
which were minors. However, he said has never saved any downloaded images or magazines.
He said he and his friends “used to moon people going down the highway,” but he reported no
other instances of voyeurism or exhibitionism.
Mr. Doe reported no history of sexual problems or concerns that have interfered with his
life or relationships (i.e., premature ejaculation, impotence, fetishes). He said he was never
forced to engage in sexual activity against his will and never forced anyone else to engage in
sexual activity against his or her will or touched anyone who did not want to be touched. He
does not believe that he has more sex than other men his age. He went to a strip bar once
when he was 18. When asked about his reputation, he stated, “I’m shy when it comes to
talking about it, but I’m not afraid to have sex. I like relationships but there’s an occasional
one-night stand.”
ACCOUNT OF CURRENT OFFENSE
According to Mr. Doe, he was at a party at the home of a friend, Richard, along with 30
other people. The victim was flirting with him, as well as with three other males at the party.
Throughout the night, Mr. Doe drank 10 beers and approximately a quarter of a bottle of liquor.
He knew Victim was also intoxicated but he added, “So was everybody else.” Several people
decided to jump into the pool and they were wearing nothing but their underwear. Afterward,
they decided to change into dry clothes. Mr. Doe walked into a bedroom and saw his friend,
Richard, there with the victim. He stated, “Richard was performing digital sex when I went in
there and got on the bed. Then Richard was kissing her. I ate her out first. I start kissing and
fingering her. Then I left. I came back in, and Richard is sitting on the bed talking to her like
nothing ever happened.” Mr. Doe said he did not digitally penetrate her and did not have sexual
intercourse with her. Then Mr. Doe left the bedroom and continued to party with his other
friends and had one or two more beers. About an hour later, around 6:00 a.m., the victim left
the party but Mr. Doe stayed there with his friend.
Regarding the charge of Tampering with Evidence, Mr. Doe said the victim was wearing
a boy’s boxer shorts over her panties. He said, “I took them off of her and threw them on the
floor. They belonged to someone else, so later I asked if he wanted them and he said, ‘No,’ so I
threw it in a fire pit.”
Mr. Doe stated he knew the victim from school. They had a couple of classes together,
and she sometimes talked to him, but he did not know her very well. However, based upon
what he knew of her reputation, she was not the kind of person who would have wanted
multiple partners to engage in sexual activity with her at the same time. He stated, “I feel bad,
but I don’t see what I did wrong. I’m sure she’s upset about the whole situation, maybe I took
advantage of her. I don’t know. I’m angry that I’m in here. I’m angry that she lied about
numerous things when she was on the stand.”
According to police reports, Mr. Doe stated that while he was at the party, he “fingered”
the victim and did “eat her out,” but he “never fucked her.” He said she was drunk and hitting
on him all night. She invited him into the shower with her after they went skinny dipping in the
pool. When asked if she wanted him to do what he did to her, he replied, “Probably not.” He
said he burned the boxer shorts because everything was coming at him so fast with her crying
and everything that he had just done.
131
MMPI-2
Mr. Doe was administered the Minnesota Multiphasic Personality Inventory – 2 (MMPI2). His test results were considered valid and showed no signs of mental illness, emotional
distress, or personality disorder. All test results were within normal limits.
Appearance
Mr. Doe is a 19-year-old white male who looked older. He had brown hair with blond
streaks and a mustache, sideburns, and a beard. He said he was 5’5” tall and weighed 160
pounds. He was in a jail uniform and his hygiene and grooming were adequate for the
circumstances. He had a small scar at the corner of his left eye from an accident when he was
eight years old, and small poison oak scars on his forearm.
Behavior
Mr. Doe followed instructions and responded to questions. His movements were not
unusually slow or rapid, and he sowed no signs of lethargy, excessive distractibility, uneasiness,
or hyperactivity. He maintained adequate eye contact. He appeared calm, and his behavior was
not highly unusual or bizarre. He does not appear to have a history of impulsivity.
evaluation. His memory and concentration were good.
structure, grammar, and use of abstract verbal concepts were within approximately low-toaverage range.
Mr. Doe showed no signs of acute anxiety, depression, fear, or other acute distress. He
described his recent mood as, “Up and down. Some days it feels like I could stay here forever.
It ain’t so bad. Other days, it’s just horrible. It ain’t bad right now.”
activities are often signs of a mood disorder. Since he has been incarcerated, Mr. Doe stated he
has had poor sleep but no other significant changes in any of these areas of functioning. His
mood was appropriate to the current circumstances and to the topics under discussion, and he
did not meet the criteria for being diagnosed with a mood disorder.
132
Mr. Doe stated he had never experienced hallucinations, and he did not respond to
glances, etc.).
Thought Content
reported no bizarre beliefs such as mind control or thought insertion. He does not think people
are out to harm him, and he does not believe life has treated him unfairly. When something
goes wrong, he tends to dwell on it and worry a lot. At the end of the evaluation, he was asked
if he had anything to add. He took his time to think about it, then said, “I don’t feel like I did
anything wrong . . . and now I’m gonna face the consequences, and I’m sorry.”
Thought Processes
There were no signs of psychotic thought processes. Mr. Doe’s judgment, as shown by
his personal history and responses to formal testing, was fair. When asked what he would do if
he were the first person in a movie theater to see signs of a fire, he replied, “Probably call the
cops.” When asked what he would do if he found a stamped, addressed, sealed envelope in the
street, he replied, “Keep walking by.” He was asked why he would do that, and he replied, “The
fact that I would have to walk all the way over there and get it, somebody might see me and
say, ‘Hey, you’re messing with the mail.’”
Mr. Doe described himself as follows: “I’m energetic. I’m patriotic. I’m easygoing. I’m
laid-back. I like sports. I like this city . . . I’m funny. I’m easygoing. I’m not the kind that will
fight all the time. It takes a lot to make me fight. Thickheaded.” When asked if he sees himself
as generous, he laughed and said, “If I got a Mountain Dew, there ain’t nobody getting it, but if
I got a box of chocolate, I spread the love out.” When asked to explain the description of
himself as “patriotic,” he replied, “I love America, because we’re free. We get to do whatever
we want, and we have religious freedom and freedom of speech.” However, Mr. Doe said he is
not a religious person himself.
His longest relationship lasted a year with the woman he dated before his arrest for this
offense. Despite his sexual behavior with the victim in this case, he said he was in love with his
girlfriend. When asked to explain what he meant by “love,” he stated, “I don’t know. I’m always
thinking about them. I want to be with them all the time. I’m a jealous type. When she talks to
another guy, I get real upset. I want to know what she’s saying. Things like that.”
Mr. Doe was asked where he sees himself in the next five years. He replied, “Out of jail,
working for my dad; my own apartment, my own car, having a girlfriend; being able to do what
I want and not being in here having people tell me what I can and can’t do. I hate this place. I
was walking toward my cell the other day and that guy said, ‘Tuck your shirt in, Sir.’ If I was on
the outside, I would have [he held up the third finger of his right hand].” He said he will get
there through “hard work and determination, no drugs; keep your nose clean and be
133
responsible with your money.” When asked if he had a savings account, he said he started an
account just two months before he was incarcerated, and he had saved $300, but he depleted
it by using that money for his jail commissary. He said his parents offered to pay that
themselves, but they had already paid for his defense, and he did not want to put them out
further.
MENTAL STATUS OPINION
It is my opinion that Mr. Doe is not mentally ill or mentally retarded. He does not meet
the criteria for being diagnosed with Antisocial Personality Disorder or any other personality
disorder, and he is not psychopathic. Although he admitted he drinks alcohol and smokes
marijuana, he claimed minimal use of these substances, which is inconsistent with his
description of his drinking at the party on the day of this offense. Therefore, it is my opinion
that he may have a greater problem with alcohol abuse than he was willing to admit.
C. Doe should be classified as a sexual predator. According to the law of this jurisdiction, a
“sexual predator” means a person who has been convicted of or pleaded guilty to committing a
sexually oriented offense and is likely to engage in one or more sexually oriented offenses in
the future.
LEGAL CRITERIA
(A)
John C. Doe is 19 years old. More youthful offenders tend to have a higher
likelihood of recidivism. His risk is increased by this factor.
(B)
offenses, is a very effective predictor of future offending. Mr. Doe has no prior
criminal record.
(C)
The age of the victims:
The victim was an adolescent. Those who offend against children are less likely
to be convicted of another sex offense than those who offend against adults.
However, that may be due to the difficulty prosecuting offenders of child victims,
rather than the actual likelihood of them committing another sex offense. Those
who offend against children are less likely to be reported to police and/or
successfully prosecuted. His risk is slightly increased by this factor.
134
(D)
There was one victim in this case.
(E)
Although the victim was intoxicated, Mr. Doe did not use alcohol or drugs to
impair her. Further, research has determined no relationship between this factor
and increased risk of recidivism.
(F)
offenders:
participated in sex offender treatment.
(G)
Mr. Doe is not mentally ill or disabled.
(H)
There is no known pattern of abuse of the current victim or any pattern from one
incident to another.
(I)
(J)
conduct:
There are no other risk factors in these offenses.
Actuarial Risk Assessment – Static-99
The Static-99 is an instrument designed to assist in the prediction of sexual and violent
recidivism for sex offenders. This risk assessment was developed by Hanson & Thorton (1999)
based upon follow-up studies from a total sample size of 1,301 sex offenders. It is a brief
actuarial instrument that was developed to estimate the probability of sexual and violent
recidivism among adult males who have been charged or convicted of at least one sexual
135
offense against a child or non-consenting adult. The recidivism estimates provided by the
Static-99 are group estimates based upon convictions for new sex offenses.
Mr. Doe’s risk factors on this test included having an unrelated victim, his age, and
never having been married or lived with a woman. These risk factors resulted in a score of
three on this instrument, out of a maximum total of 12 points. In research samples, 19% of
convicted sex offenders with this score committed another sexually oriented offense within 15
years after their release back into the community, and 34% committed a violent offense within
that same follow-up period.
However, no estimates are available beyond 15 years, and it is well-established that the
rate of recidivism of child molesters continues to increase at least through 25 years. Based upon
his Static-99 score, this places John C. Doe in the low-to-medium risk category relative to other
adult male offenders.
Clinical Risk Assessment
average recidivism rate, for recidivism in that offense category is estimated. Next, based upon
his personal history and various psychological factors, the offender’s individual risk factors are
used to determine whether the offender’s risk of recidivism is significantly different from that of
the typical offender in his offense category.
Recidivism rates cited in research studies vary as the result of several factors, including
suggests that the most credible estimates of recidivism rates, based upon official documents
concerning sex offenders whose victims are females who are not family members, range from
20% to 40%, with most estimates falling in the low 20%. Offenders who choose adolescent
victims tend to have a slightly higher rate of recidivism.
Mr. Doe’s individual risk factors include his age and the age of the victim. It is my clinical
opinion that John C. Doe has a low-to-moderate risk of committing another sexually oriented
offense in the future.
SUMMARY AND OPINION
Based upon both the actuarial test results and the clinical risk assessment, it is my
opinion that John C. Doe presents a low-to-medium risk of committing one or more sexually
oriented offenses in the future.
136
JANE A. DOE
137
JANE A. DOE
CASE SYNOPSIS
Demographics
•
•
•
•
•
35-year-old female
In a relationship with a prison inmate who is expected to be released this year
Resides with mother and stepfather
Has a cosmetology license; worked as a bartender before her current incarceration
Current Offense
•
Indicted on two counts of Unlawful Sexual Conduct with a Minor; found guilty on one count
o 15-year-old male victim
o Shared a basement bedroom with victim in which she had her own bed, at victim’s
mother’s house
o Doe and victim had frequent sex/ongoing “relationship”
o Doe and victim were using alcohol at the time of the offense
o Admits to bad judgment and consuming too much alcohol
o Statutory penalty:
1-5 years; up to $10,000 fine
Criminal History
•
•
•
•
•
•
•
•
•
•
Runaway (juvenile)
Speeding (juvenile)
Operating a Vehicle Intoxicated
Aggravated Menacing
Obstructing Official Business (two convictions)
Domestic Violence
Disorderly Conduct (three convictions)
Violation of Temporary Protection Order
Operating a Vehicle Under the Influence
Possession of a Drug Abuse Instrument
•
•
•
•
•
Unstable home during childhood
Two alcoholic parents
As a child, witnessed grandmother shoot dead her alcoholic and abusive grandfather
Was sexually fondled by grandfather and cousins, and abused by uncle as child
Quit high school during 12th grade; obtained GED
138
•
•
History of alcohol, marijuana drug use/abuse
History of psychiatric treatment
139
According to the records of the county prosecutor’s office, the following information is
known concerning details of the Instant Offense:
Count One: On or about October 1, 2008, through February 12, 2009, the offender,
Jane A. Doe, being 18 years of age or older, engaged in ongoing sexual conduct, to wit: vaginal
intercourse and/or fellatio and/or digital penetration of the vagina with Victim when the
offender knew the victim was 13 years of age or older, but less than 16 years of age.
According to the police department’s investigative supplemental report, completed on
February 13, 2009, the following was reported by the officer: “I responded to a home for a sex
offense. Upon my arrival I met with the victim, age 15, and his mother. Mother stated she had
discovered a letter on Victim’s computer which he had written to Jane A. Doe, age 34. In the
letter he makes reference to making love to Jane.”
“Jane is a family friend who they have known for years. Mother states Jane used to
change Victim’s diapers. In approximately October or November of 2008, Jane moved in
temporarily at the family’s residence. She shared a basement bedroom with Victim, in which
she had her own bed. Jane and Victim allegedly began touching and kissing shortly after Jane
moved in. This led to frequent sex which Victim stated was ‘more times than I can count.’”
No co-offender was identified in the Instant Offense.
OFFENDER'S VERSION:
During the pre-sentence investigation interview conducted on May 15, 2010, at the
county sheriff’s office, the offender gave the following verbal statement concerning details of
the Instant Offense:
“I’ve known the family since high school. I was going through a bad breakup with my
boyfriend at the time. Victim’s grandmother said I could stay with them. Victim’s aunt was my
best friend in high school. Mother said I could stay in the basement with Victim. She knew her
son had this crush on me. I was doing all the motherly duties. We were not sleeping in the
same bed at first. We never went to bed together. We would fall asleep and I would wake up
and he would be stroking my hair. I’m not going to say it wasn’t flattering. It made me feel
like I was in high school again. He very much resembled my first boyfriend.
”It didn’t get creepy until after the sexual affair. The first time it occurred in his bed. It
happened after I got off work. I had been drinking with some co-workers. I came home and
Victim had been smoking pot with some friends. We started watching television. I just
remember us talking. I don’t remember ever kissing him. I woke up and knew something had
happened. I figured if we just never talked about it, it never happened. If he doesn’t bring it
up, I don’t bring it up. I just started avoiding him and staying other places. I never told
anybody. I stayed at someone else’s house for a couple of days. I never slept in the bed with
him again. I stayed with his sister on February 12 to help her move. We went back to her
apartment and started drinking. Victim was bartending for us. Sister had stolen $100 from my
purse. I took Victim home to call police. He made me a drink and I laid down. I just
remember waking up naked. I believe he put something in my drink. Later on I went to the
police and filed rape charges.
140
“They’re hillbilly trailer trash. They are acting like they are such victims and it’s such a
joke. If I ruined their son, why would Victim hang out with me after all of this happened. I
liked feeling needed. I feel guilty of bad judgment and too much alcohol.”
The offender adamantly denied having an extended consensual sexual relationship with
the victim.
PRIOR RECORD:
Juvenile
According to records of the juvenile court, no known juvenile criminal history was found.
However, according to the offender, she was convicted of Runaway at the age of 15 and
sentenced to four days in the juvenile detention center after leaving home due to her mother’s
and stepfather’s excessive alcohol consumption. The offender stated: “Both sides of my family
drank a lot. Sometimes it was fun and sometimes it was hell. I started drinking at home at 15
because my parents were never home. It was just kids experimenting at that age. We would
drink on weekends.”
MINOR TRAFFIC ADJUDICATIONS (JUVENILE):
The offender was convicted of speeding as a juvenile.
SUPERVISION ADJUSTMENT (JUVENILE):
It does not appear the offender was ever placed on probation as a juvenile.
Adult
According to records, the following adult criminal history is known:
Date
Offense
Disposition
10/24/92
1/4/93: Guilty
08/19/95
Aggravated Menacing
10/29/95: Confinement,
suspended; Probation; Court
Costs
01/02/99
Obstructing Official Business
02/08/99: 90 days, Jail,
suspended; 1 year probation;
Fine; Court Costs
01/01/02
Domestic Violence
02/08/02: 180 days Jail,
suspended; 1 year Community
Control; $100 Fine; Court Costs
141
12/15/04
Disorderly Conduct
03/12/05: 30 days Jail,
suspended; 20 years
Probation; No Contact Order;
$250 Fine; Court Costs
10/25/10: Probation Violation;
Fine; Court Costs
12/24/04
01/06/05
04/01/07: Probation Violation;
Impose Balance; Terminate
Probation
Negligent Assault
Violation of Temporary
Protection Order
Dismissed
Unknown
Disorderly Conduct
05/13/05: 30 days Jail,
suspended; 2 years Nonreporting Probation;
Restitution; No Contact with
Victim; $150 Fine; Court Costs
Assault
Dismissed
08/31/05
Criminal Damaging
03/03/06: Dismissed
08/31/06
Disorderly Conduct
10/02/06: 30 days Jail,
suspended; 2 years Nonreporting Probation; $150 Fine;
Court Costs
11/07/06
Felonious Assault
11/24/06: Dismissed
11/15/06
12/30/06: Confinement,
suspended; Probation; Fine;
Court Costs
01/28/08
Operating a Motor Vehicle Under
the Influence (M1)
02/07/08: 2 years Probation;
Residential Driver Intervention
Program; 1 year Driver’s
License Suspension; $300 Fine;
Court Costs
Possession of a Drug Abuse
Instrument (M2)
1 day Jail; 2 years Probation;
Substance Abuse Treatment; 6
month Driver’s License
Suspension; $150 Fine
142
Illegal Weapons Onto Grounds
of Detention Facility
Dismissed
Details: The offender’s vehicle was stopped for going 80 mph in a 65 mph zone on an
interstate highway. Upon making contact with the offender, officers noticed a strong odor of an
alcoholic beverage on or about her person. The offender completed a breathalyzer which
tested .127. The offender was placed under arrest. During a search of the offender, officers
located a small piece of a ChoreBoy in her front right coat pocket. In addition, a search of the
offender’s purse located a hypodermic needle. Once at the jail, the offender was searched and
a metal pipe with a ChoreBoy and burned residue was found in the suspect’s vagina.
Date
Offense
Disposition
06/19/08
Assault (2 counts)
04/24/09: Dismissed
Details: According to the offender, while she was a patient at the University Psychiatric
Department, she became violent with the nurses, slipped out of restraints, and attacked two
nurses.
Date
Offense
Disposition
06/27/08
Unlawful Sexual Conduct
with a Minor
Instant Offense
The offender has been convicted of one traffic offense as an adult.
According to records of the county sheriff’s office, the offender has an active
misdemeanor warrant from the police department due to an Income Tax Violation, effective
May 10, 2009.
The offender has been placed on municipal reporting and non-reporting probation on
several occasions for various offenses. The offender has violated her conditions of supervision
on two occasions for positive urinalysis tests.
A phone conversation with a probation officer confirmed that the offender successfully
completed all treatment programs as ordered by the court. She also reported the offender was
very cooperative throughout her probation term and worked consistently throughout this time
as well.
Please let the court note: The officer reported that the offender never tested positive on
urinalysis tests while under her supervision, yet breathalyzers were not done. However, the
offender admitted she continued to drink while under supervision, knowing that a breathalyzer
was not going to be completed.
143
The offender denies participating in gang-related activities.
FAMILY HISTORY:
The offender reported she was born on June 27, 1975. The offender was the only child
produced from the union of her parents before it ended one year after her birth. The offender
reported to have a “fair” childhood; however, she had no contact with her father because “he
was not a real caring man.” The offender reported the relationship with her mother is strained
and stated, “We cannot live together, but she is the first person I call.”
The offender reported she was “touched inappropriately” by her grandfather at a young
age. She stated, “I don’t think he knew it was me because he came home so drunk. He
touched my vagina area.” She also stated she was sexually abused by her cousins as well. She
reported “they would flip out their penis and would give me Kool-Aid if I kissed it.” The
offender stated she reported this abuse, but no one believed her. She did obtain counseling for
this abuse when she was a juvenile.
Significant family members include:
Father:
Mother:
Grandmother:
Friend:
54;
52;
68; and
30.
MARITAL HISTORY:
The offender reported she married her first husband on February 2, 2005. This
marriage ended in divorce on May 10, 2009, without producing any children. The offender
stated she consented to the marriage while intoxicated and to “piss my mom off.” Her exhusband is currently incarcerated in the state correctional facility due to the offense of
Operating a Motor Vehicle While Intoxicated.
The offender had a relationship with a second man; however, they never married. This
relationship produced one child, Baby Jane. The offender made the following comments about
Baby Jane’s father: “He’s like a father figure. I don’t like him sexually.”
An inquiry received from the second man states: “Jane loves her daughter very much.
She has been a good parent over the years and has never at any time mistreated her daughter.
Jane supports her daughter in everything she does. I consider Jane to be a good, caring
parent. In my opinion, Jane poses no threat to society. She knows she made a mistake and I
believe she will never make that mistake again. I know she misses her daughter and, if given
the chance, she can make amends and become a productive part of society again. If I can help
Jane in anyway, I will.”
Records received from the county child enforcement agency indicate the offender is not
court-ordered to pay child support.
The offender stated she is currently in a relationship with a third man, who is
incarcerated in the state correctional institution due to charges of Tampering with Evidence,
Possession of Drugs, and Failure to Comply.
An inquiry received from the third man states: “Jane has always been a very loving,
warm-hearted, and caring partner. Jane has always been very supportive of me and her
144
daughter, Baby Jane. I feel lucky to have a person like Jane in my life and I know her daughter
and anyone who is close to her shares these same feelings. It is my belief, and the opinion of
anyone that knows Jane, that she is not capable of the crime that she has been charged with. I
have and always will support Jane in anything she does. She has a lot of family and friends
who love her and know she is a very caring, loving, and warm-hearted person. I do not believe
that prison will be beneficial to her in this matter. It is my hope there is some other avenue in
which Jane can gain something from this personally.”
RESIDENCE:
The offender lives in a dwelling described as a four-bedroom house owned by the
offender’s mother and stepfather. Officer safety note: The offender reported there are
weapons in the home due to her stepfather being a weapons collector. The offender denied
the presence of any animals in the home.
A home contact was completed on May 17, 2009, confirming the offender is permitted
to reside in the residence. This officer spoke with the offender’s parents and confirmed the
home has four bedrooms (one bedroom is used as an office) and a basement. The office does
have a computer with Internet access. The offender’s parents both work night shifts and sleep
during the daytime hours. An observation of the kitchen found there was alcohol in the
residence (beer in the refrigerator).
The offender reported she graduated from high school in 1991. Following high school,
she attended cosmetology school and received a certificate in 1996. In 2003, the offender
completed the broadcasting program and received a certificate.
This officer sent inquiries to the high school and the cosmetology school; however, as of
the date of this dictation, these inquires have not been returned.
MILITARY HISTORY:
The offender denies serving in the armed forces.
The offender rates her health as good. She indicates she suffers from mild dysplasia on
her cervix. She also indicated that at her last health exam she was observed to potentially have
cirrhosis or hepatitis; however, she never followed up with further testing. The offender denied
consuming any medications.
The offender reported a history of suicide attempts as well. She indicated that at the
age of 16, she attempted to commit suicide by overdosing while drinking. She also confirmed
she has slit her wrists on several occasions. Most recently, in 2008, she reported that she cut
her neck after a confrontation with a boyfriend.
When questioned concerning her alcohol and substance abuse history, the offender
reported she first began abusing alcohol and drugs at the age of 15. She lists her drugs of
choice as alcohol and cocaine. The offender indicated she consumes alcohol approximately
three to four times weekly. She classified herself as a “functioning alcoholic.” The offender
reported her cocaine abuse consists of “doing a line to bring me back up. I’ve passed many
145
field sobriety tests by doing a line. Alcohol was my gateway to cocaine. I would have alcohol
(six beers or three Captain Morgan and Cokes) before doing cocaine.” The offender continued
to report her suicide attempts are in correlation with her alcohol consumption. She stated, “I’ve
never done anything wrong sober.”
The offender reported she self-admitted herself into an alcohol treatment program on
two occasions, in 2002 and 2007. She also reported that she completed a mental health and
recovery center program in 2004.
EMPLOYMENT HISTORY:
The offender is currently unemployed due to being incarcerated.
The offender lists her financial assets as $700 per week in employment income when
employed. She lists her financial obligations as basic living expenses. The offender reported
she declared bankruptcy in 2003 for approximately $20,000.
****************************************************************************
According to a statement completed by the victim, on February 13, 2008: “The first time
that Jane and I had sex was at my sister’s house. At first it was talking and then it started to
get into rubbing and kissing. Then it led to sex. We were in my cousin’s bedroom and we
started having sex. The next time was when she moved in and shared a room and a bed. She
took her clothes off and I took mine off then we started having sex. She would be sleeping and
she would wake up because I would kiss her on the forehead and neck, then it would get into
kissing and having sex. We had sex a lot, but I thought that she had feeling and love the same
way I did. But when she moved in like, I was saying, she would sleep in the same bed as me.
Some nights she would come in drunk and start to kiss me and take off her clothes, so I did
too. Some nights when she would come in drunk and I would start kissing her, but that’s what
I thought she wanted. One night my buddy was staying the night and she come home with my
sister, but my sister went to bed and passed out. Then Jane said to me, ‘Let’s do it,” so we
took off our clothes and had sex. Last night, my sister and I were sleeping and Jane came and
woke us up. So we went to the bar and I had a few drinks on the side. Then when we left the
bar, they took some beer and some Captain Morgan. My sister had nothing to do with it and
neither did I. So we went back to a friend’s house with a few people that I don’t know. So
everything was fine. Jane and I took off our clothes and got in the bathtub and took a bath.
Then we had sex on the bathroom floor. So when we were done I went in the other room to
make a bed for me and Jane. Then all of a sudden everybody was flipping out and screaming.
So my sister left and Jane was locked out of the house. So she was walking and busted a light
outside in front of my sister’s entrance, and when we got to the front door, she started kicking
the door, trying to get in. So I ran around and got in through the back door to let her in. So
my dad comes to pick me up and take me home. So Jane was calling, saying she wants her
stuff. So she went back to my sister’s ex-husband’s house. She called, I mean I called her,
and she wanted me to come and see her, so I did. When I got there she made a few phone
calls and wanted to go to bed. So when we got in bed, we took off our clothes and fell asleep
naked.”
146
PSYCHOSEXUAL EXAM
JANE A. DOE
Jane A. Doe was referred for a psychosexual examination, after a verdict and
She was indicted on two counts of Unlawful Sexual Conduct with a Minor, a third degree felony.
She was adjudicated guilty by a jury of one count of Unlawful Sexual Conduct with a Minor, a
fourth degree felony.
Jane Doe was informed of the purposes and non-confidential nature of the evaluation
and agreed to participate in the evaluation. She was clinically interviewed at the county jail on
June 8, 2010, for one-and-one-half hours.
1.
2.
3.
4.
5.
6.
7.
Court documents regarding this case, including Supplemental Discovery;
Indictment; State’s Answer to Request for Discovery; Supplemental
Discovery; Entry of Verdict; Entry Ordering Sexual Offender Assessment;
Police Department investigative reports, including Summary of
Defendant’s Oral Statement; Incident Report, Investigative Supplement;
Letter with heading “To Jane;” Witness Statement Form by Victim;
Witness Statement Forms by Witnesses; Voluntary Statement; and
Investigative Supplement;
Regional Crime Laboratory;
Criminal Identification and Investigation laboratory reports;
Criminal Identification and Investigation validated criminal history record;
Jane Doe’s Pre-Sentence Investigation Report, prepared by the County
Adult Probation Department; and
Results of Minnesota Multiphasic Personality Inventory–2 (MMPI-2).
The following social history was provided by Jane Doe except as indicated otherwise.
Family of Origin
Jane A. Doe was raised by her biological mother who was married six times and moved
frequently from town to town, and was sometimes dropped off at her grandmother’s house. Her
mother was in and out of her life but not a stable presence. Jane lived briefly with her biological
father when she was in the fourth grade, but he was not a regular part of her childhood, and
she has not spoken to her father in two years even though he lives nearby. Jane said she
recently learned that he may not even be her biological father.
When Jane was in the sixth grade, she watched her grandmother shoot her alcoholic,
physically abusive grandfather to death. Her grandmother was psychiatrically hospitalized for a
short time, but she was not prosecuted. When Jane was in the eighth or ninth grade, she
insisted upon living with her grandmother rather than being dragged to the next town with her
147
mother. Jane described her mother as an “alcoholic bartender who always got her way and was
spoiled rotten. She always chose her husbands over me.”
Jane said that both parents had convictions for multiple DUIs and she believes her
mother had a “nervous breakdown” and was psychiatrically hospitalized when Jane was a young
child. Her maternal grandmother was also psychiatrically hospitalized, but Jane did not know
the diagnoses.
Jane said that, as a child, she was not mistreated, neglected, or abused. She said she
was spoiled by her grandparents. She stated, “Nobody was ever really around. I was a loner, so
they bought me things in place of being there.” When she was a senior in high school, she
moved out of her grandmother’s home and got her own apartment. She explained that she
“didn’t get along with my family” because her uncle was an alcoholic who was physically and
emotionally abusive toward her. She said she was also sexually fondled by her grandfather once
when she was in the third grade. She said that when she told her grandmother about her
grandfather’s behavior, everyone in the family made excuses for him because he was an
alcoholic.
Jane was also fondled by her cousins until she was in the fourth grade. She said they
would fondle her and ask her to kiss their penises in exchange for Kool-Aid packets. When she
told adults in the family what was happening, they denied it – no one believed her.
Education
Jane Doe attended regular and college prep classes at her high school. She described
herself as very athletic – said she was on the varsity track team for four years as well as on the
volleyball and basketball teams. She said she broke her school district record for track when she
was in the ninth grade. She was suspended in junior high school for lighting a fire cracker in a
class, but she was not suspended or expelled from high school.
When Jane moved out of her grandmother’s house in her senior year, she moved to a
different school district. When school officials discovered that, she was forced to attend a
different school in her senior year. She attended one school in the city school district for a week
then she quit school. She later earned her G.E.D.
Jobs/Occupation
Jane has no military service. She collected unemployment benefits after she was fired
from her job “because of my attitude,” which she blamed on being seven months pregnant.
She has a cosmetology license and worked at a salon for seven years until her daughter
started kindergarten. Then she got an internship at a television station and held that part-time
job for two years. She quit that job because of the low pay and got a job as a bartender, which
she did from 1999 through the time of her arrest for the current charges.
Criminal History
Jane reported having only two charges as a juvenile. She said her first arrest was at age
15 for Driving Without a License when she got caught driving her grandmother’s car. Her
driver’s license was suspended until she was 17. At age 18 she ran away from home with an
older boy and spent five days in the Juvenile Detention Center. She did not recall the name of
her charge, but guessed it was for Unruly.
Jane said her first arrest as an adult was for DUI at age 19.
148
She said she was convicted of Disorderly Conduct and reported having two Probation
violations resulting from that charge because she repeatedly failed her drug tests.
At age 23, Jane was fired from a Mexican restaurant for stealing money from a change
jar. She was convicted of Theft, spent three days in jail, and was required to repay the money.
She said she also has two convictions for Disorderly Conduct but reported having no
other convictions.
According to Bureau of Criminal Identification and Investigation reports, she has the
following criminal record:
Aggravating Menacing
Domestic Violence
Disorderly Conduct
Negligent Assault (dismissed)
Violation of Temporary Protection Order
Disorderly Conduct
Disorderly Conduct
Felonious Assault (dismissed)
Operating a Motor Vehicle Under the Influence
Possession of a Drug Abuse Instrument
Assault
Illegal Weapons Onto Grounds of Detention Facility (dismissed)
1992
1995
1999
2002
2004
2004
2004
2005
2006
2006
2006
2008
2008
2008
2008
When asked directly about each of these offenses that she did not mention, she said
that the Obstructing Official Business charge was for hiding her boyfriend from police. She said
that the Domestic Violence charge in 2002 was regarding a fight with her boyfriend, which
resulted in both of them being charged with Domestic Violence.
Regarding the Negligent Assault charge, she said two women jumped her so she
retaliated and broke one of the woman’s noses. She said she thought the charges were reduced
to two Disorderly Conduct convictions.
She said that regarding the Temporary Protection Order violation, they were courtordered to stay away from each other after they were both charged with Domestic Violence
against each other. She failed to comply.
Regarding the Felonious Assault charge that was dismissed, she explained that her
boyfriend broke into her house and she stabbed him. She said she spent 10 days in jail, but the
charge was dropped. She said she also carried a crack pipe into the county jail, which resulted
in the charge for Illegal Weapons Onto Grounds of Detention Facility.
Substance Abuse
Jane said she had her first alcoholic drink when she was 14 years old and started using
cocaine when she was 20. She said she tried marijuana but did not like it and did not continue.
She has used cocaine, “acid,” and Ecstasy, but does not like “downs,” including minor
tranquilizers, narcotic medications, or barbiturates. She added, “I like being up.”
She said that over the past year, while she has been out of jail on bond, she has been
drinking heavily every day. She said that her probation officer has been doing drug tests on her.
149
Jane has been drinking heavily, but has not been using drugs this past year. She added, “I’m
just a straight drunk. I’m a bartender. I’m around it every day.” She said she starts drinking as
soon as she finishes her shift and goes to the bar on her days off to drink all day, “then I pass
out and do it again.” She said she drinks to make herself numb “because I wake up miserable
every day. Life sucks.” Then she laughed while simultaneously near tears. She said that the
problems she has been trying to escape this past year have included “this charge, fighting with
my ex about seeing my daughter, my family who I don’t get along with, my boyfriend who is
the love of my life who is in prison for Fleeing and Eluding.” She voluntarily admitted herself
twice to an alcohol treatment program.
Medical
While being treated in a psychiatric unit at the university medical center, Jane was told
that she may have hepatitis and was told to get further testing, but she did not do it. She
reported no other history of serious illness, surgeries, or injuries.
According to Jane Doe, at age 15 or 16 she participated in family counseling for one
session. Because the counselor seemed to be blaming her mother for the family’s problems,
her mother refused to return.
Jane said she took a handful of pills in a suicide attempt and was treated at the
emergency room of the city hospital. At the time, she was living with her grandmother, and her
alcoholic uncle and his girlfriend were coming home drunk each night and tormenting and
harassing her. She stated, “I had no parental supervision except those alcoholics.”
Jane said she has cut her wrists four or five different times, and has scars on both
wrists. She stated, “I was always drunk. I’ve never done anything stupid to myself or got in
trouble when I was completely sober.”
Over the years, Jane has seen many different physicians and has been prescribed many
different anti-depressant medications. She also participated in counseling with a Ph.D. and an
M.D. many years ago. She said her treatment providers have repeatedly told her that the antidepressant medicine she took was not effective because she was simultaneously abusing
alcohol and drugs and because she never took any medicine long enough to be effective.
Jane was married in 2005 when both she and her husband were drunk and high on
crack cocaine while on a two-day binge. She said she got married “just to piss off my mother”
and the man who married her “to piss off his girlfriend.” Her husband is serving a prison
sentence in another county. He filed for dissolution from the prison, which became final around
the time of Ms. Doe’s arrest for the current offense.
When asked if she had any other live-in relationships, she replied, “I’ve never been
alone.” She said she has lived with a boyfriend since she was 18 years old, adding, “I don’t like
being alone. I always lived with my boyfriends.” The longest any relationship has ever lasted
was less than a year. She has one daughter who is 12 years old and lives with her father. Ms.
Doe has maintained a good relationship with the child’s father and she sometimes stays there
with them, although her relationship with the father is non-sexual.
150
Jane is currently involved with a man who is serving a prison sentence for Tampering
with Evidence, Drug Possession, and Failure to Comply. He is expected to be released later this
year.
Sexual History
Jane reported being sexually fondled by her grandfather and cousins when she was a
child. She said she started menstruating when was 17, and she had sexual intercourse for the
first time when she was in her senior year of high school. She has had numerous sexual
partners throughout her adult life.
ACCOUNTS OF OFFENSE
According to police reports, on February 13, 2009, Jane Doe said she was raped the
night before by a 15-year-old boy. She said she worked at a restaurant until approximately 1:00
a.m., then went to a bar to visit a friend, Ellen, who was with her brother, Doug. Afterward,
Jane, Ellen, and Doug visited the house of another friend, Melissa. Melissa’s 15-year-old
brother, Victim, was there. Jane continued drinking. After going to the bathroom, Jane came
out, and Ellen, Doug, and Melissa were gone along with $140 from her purse. Jane took Victim
home and told his mother about the missing money. She also called the police about the
missing money. Jane went back to her apartment, then Victim showed up at her apartment. He
made her another drink then she told him that she had to lay down, which was around 5:00
a.m.
The next thing she remembered was being awakened by police officers with a gun to
her head. She was naked and a female officer handed her clothes to put on. She said she did
not know if Victim had done anything to her, but she felt like she had had sex. She said she did
joke and flirt with Victim. She said she had known Victim since he was three years old. When
told that she was a suspect in a crime, she asked if she were under arrest, then she said she
did not have to file a report and that she was going to the hospital.
On March 1, 2009, Ms. Doe told police that she could not remember anything and that
she was groggy when she spoke with the detective. She said she did not remember going to
her bedroom to lay down, and she did not remember removing her clothes. She rambled about
hugging and kissing Victim and possibly leading him on. She said she sat on his lap in the van
because it had no seats, and she could tell he had a “hard on.” She said it was a big joke
because Victim had made it known that he was in love with her and that Melissa had been
joking about Ms. Doe taking his virginity. She said she wanted to drop the investigation, and
she signed a form requesting that no further police action be taken.
According to Melissa, she found a letter on Victim’s computer. The letter was written by
Victim to Ms. Doe, and it referred to Victim and Ms. Doe having sex. Melissa said that on
February 13, 2009, she went to a bar with Jane, Doug, and Victim while Ellen was working
there as a waitress. Melissa told Ms. Doe that she knew about the letter and about her
relationship with Victim. Ms. Doe called Victim a “fucking retard” and said she thought he had
deleted the letter. When they returned to the apartment, Ms. Doe ran a bubble bath, then she
and Victim locked themselves in the bathroom. Melissa knocked on the door until they opened
it. Ms. Doe was wearing only a towel and she said that she “sucked his dick.” She said that she
had “messed around with Victim,” but they never had sex. They argued, and Ms. Doe broke a
globe light, then started beating on things. Doug helped Melissa climb the fence behind the
apartment because she was afraid that someone was going to call the police.
151
Another witness said he was at the apartment after the police left, and he overheard Ms.
Doe talking on the phone and saying that if Victim filed a report, she would “cry rape.”
According to Victim, he had sex numerous times with Jane Doe. The first time was at his
mother’s house and, after she moved in, they shared a bed.
However, during the current evaluation, Jane Doe strongly insisted that there was not
an ongoing romantic or sexual relationship with Victim. She said there was only one incident
between them, and it happened when she was drunk. She stated, “I was drunk and I let some
15 year old have sex with me.” When asked about the letter he wrote to her about their affair,
she argued that there was no evidence of an ongoing relationship, that police found “only one
DNA stain,” and that “his family made up this long story because they’re all against me.” She
showed no signs of remorse for her actions and blamed her intoxication and Victim for the
offense. Her account during the current evaluation was inconsistent with her account that she
provided for her PSI report.
Jane was administered the Minnesota Multiphasic Personality Inventory-2 (MMPI-2). Her
test results were slightly exaggerated, which suggests a moderate attempt to appear more
psychologically impaired than may actually be the case. While her test results are of
questionable validity, they are not necessarily invalid. Individuals with similar profiles are seen
as aggressive people who inspire anxiety and guilt in others. They are seen as hostile,
aggressive, revengeful, and bitter, but they tend to deny anger or violence in the interview.
They are demeaning and intimidating toward others, and they frequently have a history of rage
and violence, especially toward family or lovers. The likelihood of acting out, along with reduced
impulse control and behavioral agitation, is a significant possibility. They may have a history of
repeated aggressive situations where others get hurt. They are suspicious and resentful and
tend to brood about real or imagined wrongs. They typically have a history of disrupted
interpersonal relationships which they have found quite dissatisfying, usually due to their
misinterpretation. They frequently abuse alcohol and/or drugs – typically “everything” they can
get. At the time of testing, these persons often express distress and anxiety, much of which is
situational. When the situation improves, the distress is generally alleviated.
Appearance
Jane A. Doe is a 35-year-old white woman. She reports to be 5’9” and weighs 155
pounds. She was dressed in a jail uniform, and her hygiene and grooming were adequate for
the circumstances. She had scars on both arms, which she said were from cutting herself with
razors and scissors.
Behavior
Jane followed instructions and responded to questions, and she was cooperative with
the evaluation. Her movements were not unusually slow or rapid, and she showed no signs of
lethargy or hyperactivity, and she was not easily distracted. She maintained adequate eye
contact. She appeared calm and her behavior was not highly unusual or bizarre.
152
Jane Doe was aware of the time, place, and general circumstances for the present
evaluation. Her memory and concentration were not significantly impaired. However, she said
that her thinking still feels “cloudy,” even though she has had no alcohol to drink for the past
month of her incarceration.
Jane Doe read an Informed Participation Statement without error, and she showed
adequate understanding of what she had read by rephrasing it in her own words and by
answering questions about what she had read. Her speech was clear, coherent, and
spontaneous, and she was responsive to questions. She spoke at a fast pace and her speech
was slightly pressured. Her vocabulary, sentence structure, grammar, and the use of abstract
verbal concepts were within approximately low-average to average range.
Jane Doe showed no signs of acute anxiety, depression, fear, or other acute distress.
She smiled appropriately but did not laugh or cry. Significant changes in sleep, appetite, energy,
socialization, and interest in pleasurable activities are often signs of a mood disorder. She did
not report significant changes in these areas of functioning. She reported a history of suicide
attempts, self-mutilation gestures, and mild-to-moderate chronic depression throughout most of
her life.
It should be noted that when a person uses drugs and alcohol almost every day of their
lives, it is difficult to diagnose a mood disorder because these substances mimic the symptoms
of a mood disorder. However, at the time of this evaluation, Jane had not been using drugs or
alcohol for a month. Her mood during this evaluation was appropriate to the current
circumstances and to the topics under discussion, and she did not display symptoms of a major
mood disorder.
Jane Doe said she had never experienced hallucinations except when she was using
illegal drugs. During this evaluation, she was not responding to hallucinations (e.g.,
conversation, nods, unusual pauses in conversation, glances, etc.).
Thought Content
Jane Doe reported a history of suicide gestures and self-mutilation but no current
thoughts, plan, or intent of suicide. She reported no thoughts of harming others. She revealed
no delusional, irrational, or illogical thinking during this evaluation, and she reported no bizarre
beliefs such as mind control or thought insertion.
153
Thought Processes
There were no signs of psychotic thought processes. She has demonstrated a lifelong
pattern of poor judgment (e.g., substance abuse, criminal offenses, probation violations, and
continued use of alcohol while out on bond this past year).
It is my opinion that Jane Doe meets the criteria for chronic alcohol dependency and
drug abuse (cocaine). She has a history of chronic mild depression that has been exacerbated
by her drug and alcohol abuse and has resulted in multiple suicide gestures and self-mutilation,
none of which occurred when she was sober. At the time of this evaluation, she did not meet
the criteria for Major Depression or any other severe mood disorder.
However, she does meet the criteria for being diagnosed with personality disorders. She
meets the criteria for Antisocial Personality Disorder as shown by her chronic failure to conform
to social norms with respect to lawful behaviors; deceitfulness as indicated by lying or conning
others for personal profit or pleasure (including sexual pleasure); irritability and aggressiveness
as indicated by repeated physical fights or assaults; reckless disregard for safety of self or
others; and lack of remorse as indicated by being indifferent to or rationalizing having hurt,
mistreated, or stolen from another.
She also meets the criteria for Borderline Personality Disorder. Individuals with this
disorder show a chronic and pervasive pattern of self-destructive behaviors; unstable and
intense interpersonal relationships; recurrent suicidal or self-mutilation; and inappropriate anger
toward others. They avoid being alone and they are particularly reactive to real or feared loss of
an important relationship.
The purpose of the current evaluation is to assist the court in determining whether Jane
A. Doe should be classified as a sexual predator. According to state law in this jurisdiction, a
“sexual predator” means a person who has been convicted of or pleaded guilty to committing a
the future.
Legal Criteria
(A)
Jane Doe is 35 years old. More youthful offenders tend to have a higher
likelihood of recidivism. Her risk may be slightly decreased by this factor.
(B)
A person’s criminal history, especially her history of prior sexually oriented
offenses, is a very effective predictor of future offending. Jane Doe has an
154
extensive criminal record which significantly increases her likelihood of
recidivism.
(C)
The victim was an adolescent male. Those who offend against children are less
likely to be convicted of another sex offense than those who offend against
adults. However, that may be due to the difficulty prosecuting offenders of child
victims, rather than the actual likelihood of them committing another sex
offense. Offenders with adolescent victims have increased risk of recidivism over
those who have child victims. Her risk is increased by this factor.
(D)
Whether the sexually oriented offense for which sentence is to be imposed
There was one victim in this offense.
(E)
Research has determined no relationship between this factor and the increased
risk of recidivism.
(F)
offender completed any sentence imposed . . . and, if the prior offense was a sex
offenders:
Jane Doe has no prior convictions for sexually oriented offenses, and she has
never participated in sex offender treatment.
(G)
Jane Doe is not mentally ill or disabled. However, she does meet the criteria for
Antisocial Personality Disorder, which is associated with significantly increased
risk of recidivism.
(H)
According to the victim, they were involved in an ongoing sexual relationship. If
true, her risk is increased by this factor.
(I)
Jane Doe did not use force or weapons, excessive force, or cruelty in the
155
(J)
conduct:
(1) Jane Doe has a history of probation violations, which is
associated with increased of recidivism, and (2) Jane Doe has a
history of alcohol abuse and dependency, which is associated with
increased risk of recidivism.
Actuarial Risk Assessment
The actuarial risk assessment instruments that were developed to predict sex offense
recidivism in male sex offenders have not yet been adequately researched with female sex
offenders. Therefore, no actuarial tests were used to predict recidivism with this offender.
average recidivism rate, for the recidivism in that offense category is estimated. Next, based
upon her personal history and various psychological factors, the offender’s individual risk factors
are used to determine whether the offender’s risk of recidivism is significantly different from
that of the typical offender in her offense category.
Recidivism rates cited in research studies vary as the result of several factors, including
suggests that the most credible estimates of recidivism rates, based upon official documents
concerning sex offenders whose victims are adolescents who are not family members, range
from 20% to 40%, with most estimates falling in the low 20%. However, the risk is slightly
higher with adolescent victims.
Jane Doe’s individual risk factors include her criminal history, the age of the victim,
having a diagnosis of Antisocial Personality Disorder, having an ongoing relationship (if the
victim’s account is considered accurate), having a history of probation violations, and a history
of alcohol abuse and dependency. These risk factors indicate a moderate-to-high risk of
committing another sexually oriented offense in the future.
SUMMARY and OPINION
Based upon her history, collateral sources of information, and psychological testing, it is
my opinion that Jane Doe presents a moderate-to-high risk of committing one or more sexually
oriented offenses in the future. Her risk might be slightly reduced if she were to complete an
alcohol treatment program and abstain from alcohol and drugs.
156
JANE B. DOE
157
JANE B. DOE
CASE SYNOPSIS
Demographics
•
•
•
•
•
28-year-old female
Single, no current relationship
Will reside with sisters after release
Was self-employed with cleaning business; currently in jail
Current Offense
•
Indicted on three counts of Unlawful Sexual Conduct with a Minor and one count of
o 15-year-old female victim
o Ongoing unlawful sexual conduct
o Supplied victim with alcohol and/or pills
o Admits to behaviors; is remorseful
o Pled guilty to two counts of Unlawful Sexual Conduct with a Minor
o Statutory penalties:
1-5 years/$10,000 fine
Criminal History
•
•
Runaway (juvenile)
Assault
•
•
•
•
•
•
•
Unstable home during childhood
Stepfather and boyfriend molested Jane; boyfriend was convicted
Lived in juvenile facility, group home, and foster homes
Mother has history of bipolar disease; attempted suicide
Quit school after 9th grade
History of alcohol, marijuana use/abuse
No mental health, health difficulties
158
According to the county prosecutor’s office and the police department, the following
details are known:
Between the dates of July 2, 2009 and October 7, 2009, the victim, who was 15 years
old, reported that on several occasions, sexual contact and conduct went on between her and
Jane Doe. These acts took place in another city and in the Motel 8 in the neighboring town.
It is also reported that the defendant, Jane Doe, was in juvenile court on September 20,
2009, pled no contest to a charge of Contributing to the Unruliness of a Child, and was ordered
not to have any contact with the victim. It should be noted that at the time of these incidents,
the victim was a juvenile runaway.
There is no co-offender in this case.
OFFENDER'S VERSION:
During an interview conducted on December 21, 2009, at the county jail, the defendant
gave the officer the following statement:
Unlawful Sexual Conduct with a Minor: “The minor and I were going through hard times
and became very close to one another because her grandmother was dying, and my husband
was abusive and was dying, and I was being evicted from my home.”
Jane Doe further states that the victim lived next door to her. She states that she got to
know Sally while she was having a hard time because her grandmother was dying of cancer.
The defendant states her husband had Hepatitis C and cirrhosis of the liver and was also dying.
She states they had this in common and became really close friends and one thing led to
another. The defendant does admit to touching the victim’s breast and vagina and also kissing
her. The defendant states that the victim is a lesbian and has had a relationship with a 17-yearold female in the past. That relationship broke up, at which time the victim left that residence
and came to stay with the defendant. Jane Doe states her mother was in prison and her
grandmother had custody and allowed her to stay with the victim. The defendant states she
was separated from her husband and the actions were consensual. She states that she only
touched the victim’s breasts and vagina. She further stated the more they kept hanging around
each other, the more things happened. She states that it happened approximately six times.
When asked what happened, Jane Doe stated that she kissed and touched the victim, and
victim gave the defendant oral sex. She also stated that the victim was like the boy. She stated,
“I never penetrated the victim.” The defendant states this was the first time that she has ever
had sexual contact with a female only. When asked about the defendant’s sexuality, she stated
that she always knew something was different, she did not know what, and she was not sure
what kind of relationship she would pursue; however, she did state a preference for women.
Jane Doe stated her main objective would be to try to get her kids back and that she’s not
worried about her relationship anytime in the near future. She also stated she’s always had bad
relationships with men. During the sex offender questions, the defendant stated that the victim
lived next door to her and that she was her babysitter’s daughter’s girlfriend. She states that
the victim was 15 years old at the time of the offense. When asked to describe the victim, she
stated, “She acted older than she is; very nice, very concerned person; she worried about my
children and I because my husband wasn’t a very nice person and he was dying.” She states
159
she did not plan the activity with the victim and that the victim seemed very happy during the
affair. She denies restraining, threatening, or striking the victim. She states that this has never
happened before. She also states, “I am not a bad person. I have three daughters. I have
never planned anything like this. My three daughters mean the world to me. It would absolutely
kill me if I couldn’t see or have any contact with them. I really don’t know what happened but I
would never do it again. I just want to move past this and get on with mine and my daughters’
lives. I do apologize for everything that I have done. I never hurt anyone or made anyone do
anything they didn’t want to. I’m really a good person. I just was caught up in the wrong thing
at the wrong time.”
PRIOR RECORD:
Juvenile:
It should be noted that the defendant did list a juvenile record for Runaway in this and
another state. However, inquires from juvenile court do not list a juvenile record for the
defendant.
Adult:
According to inquires sent to area courts, sheriffs’ and police departments, and N.C.I.C.,
the following adult prior record is known:
Date
Offense
Disposition
07/29/09
Contributing to the
Unruliness of a Child
10/24/09: 6 months,
County Jail
Details: The defendant, Jane B. Doe, was harboring a minor child, Victim. Complainant
believes Jane Doe is having sexual relations with the victim and also supplying her with alcohol
and/or pills. It should be noted that on September 20, 2009, when the defendant pled no
contest, the judge order the defendant to have absolutely no contact with the victim, date of
birth November 1, 1993.
Date
Offense
Disposition
08/28/08
Assault
12/02/08: $250 Fine;
$72 Court Costs; 180
days, Jail, suspend all
but 30 days
09/07/09 to
10/07/09
Interference with Custody
10/24/08: 6 months,
County Jail, to run
consecutive to
related case
Details: The defendant knew she was not to have any contact with the 15-year-old victim, as
ordered by the judge; she also knew that the child did not have her mother’s permission for her
160
to keep the victim at her residence. The defendant kept the child in her custody for one month;
the child was never returned to her parent’s custody.
Date
Offense
Disposition
07/20/09 thru
10/07/09
with a Minor
Instant Offense
with a Minor
The defendant was charged with Speeding and was ordered to pay fines and court
costs. She was also charged with Expired Plates and ordered to pay fines and court costs.
None known.
It would not appear that the defendant has ever been placed on probation; supervision
adjustment does not apply. However, the defendant is currently serving two six-month
sentences ordered to run consecutive to each other.
The defendant denies being a member of a gang; we have no evidence to suggest
otherwise.
FAMILY HISTORY:
The defendant states that her biological parents were never married and she does not
know her biological father. She states her mother had her at age 16 and she was raised by her
mother and two stepfathers. She states she was abused by her second stepfather and she has
little contact with her mother. She states her mother does not believe she was abused. She lists
the following family members:
Mother:
Sister:
Sister:
Sister:
45,
23,
17,
27,
information unknown;
nurse;
a hostess; and
resides in neighboring city.
The defendant states that she was sexually abused by her second stepfather from eight
years to 13 years old. She states that he was prosecuted and is serving a 10- to 50-year
sentence. She states that she did receive counseling for this abuse. She states that her husband
161
was physically, psychologically, and verbally abusive and that she has never received counseling
or treatment for that.
MARITAL HISTORY:
The defendant states that she was married. Three children were produced to this union
before he died in October 2009. Those children are ages 9, 7, and 6. The defendant states that
her ex-mother-in-law has temporary custody of those children. The defendant denies being in a
relationship at the present time.
RESIDENCE:
The defendant is currently incarcerated in the county jail where she is serving a oneyear sentence. She states that once she is released, she hopes to reside with her two sisters in
a two-bedroom apartment which her sisters rent. The defendant states that she hopes to reside
with her sisters until she gets a place of her own. She states she has no weapons in her
possession or at her last known residence; however, she states she was living there with a
friend and the house was foreclosed on. The defendant did state there was one Pit Bull at that
residence.
The defendant states that she completed the 9th grade and has no G.E.D. Inquires have
not been returned; this information has not been verified.
MILITARY HISTORY:
The defendant denies being in the U.S. Military.
The defendant is a 28-year-old female who claims to be in good physical condition. She
states that she has had three exploratory surgeries and her gall bladder and appendix removed.
She denies being under the care of a physician and takes no medication at this time. She states
that she was examined by a counselor in 1994 for sexual abuse. She also states that she was
treated at a hospital in 1995 or 1993 due to problems with her mother. The defendant states
that she has never had a mental health diagnosis. The defendant lists no suicide attempts.
Concerning her drug and alcohol abuse, the defendant states that she was 14 when she
first began using alcohol and drugs. The defendant states that she smoked marijuana on a daily
basis and last used five months ago. The defendant also states that she would use prescribed
pain pills when needed; she last used five months ago. The defendant states that she was
treated for drug and alcohol abuse at Horizons as a juvenile; this information has not been
verified.
162
EMPLOYMENT HISTORY:
The defendant states that she was self-employed in 2009 doing cleaning work. This
employment stopped when she became incarcerated.
She states that in 2008 she was employed at Wal-Mart; inquires returned from Wal-Mart
indicate the defendant was employed from November 2006 until February 2007; that she left
due to career opportunities; and that she is eligible for re-hire.
The defendant states that in 2005 she worked as a maid, earning $7.50 an hour; this
information has not been verified.
In 2004 and 2005, she states that she worked at a department store as a cleaner,
earning $8 an hour; this information has not been verified.
The defendant states that when she was employed, she was earning $1,000 a month in
income, and government assistance in the amount of $143 a month for Social Security for her
husband. She states her children earn $143 each for her husband’s Social Security. This was
listed as the defendant’s income. She lists no monthly financial obligations and denies ever filing
for bankruptcy.
****************************************************************************
According to the details of the Instant Offense, it does not appear that restitution is
owed. However, information from the victim’s school counselor indicates that the victim stated
she was having a sexual relationship with Jane Doe. She also told her school counselor that no
one was going to keep her away from the defendant, Jane Doe.
163
PSYCHOSEXUAL EXAM
JANE B. DOE
Jane B. Doe was referred for a psychosexual examination, after a verdict and
She was indicted for Obstructing Official Business and three counts of Unlawful Sexual Conduct
with a Minor. As the result of a plea agreement, Ms. Doe pled guilty and was adjudicated guilty
of two counts of Unlawful Sexual Conduct with a Minor, a third degree felony.
Jane Doe was informed of the purposes and non-confidential nature of the evaluation
and she agreed to participate in the evaluation. She was clinically interviewed at the county jail
on January 6, 2010, for one-and-one-half hours.
1.
2.
3.
Court documents regarding this case, including Judgment Entry, Juvenile
Court Indictment, State’s Answer to Request for Discovery, Plea of Guilty
and Jury Waiver, Entry Ordering Sexual Offender Assessment;
Police department investigative reports, including Witness Statement of
Victim, Arrest Report, Case Report; and
Results of Minnesota Multiphasic Personality Inventory–2 (MMPI-2).
The following social history was provided by Jane Doe except as indicated otherwise.
Family
Jane B. Doe was born and raised in this state by her mother and stepfather from
infancy. Until she was eight years old, she believed her stepfather was her biological father.
Then her parents divorced and her mother, who was in her late twenties, remarried an 18-yearold man, Johnnie, and they had a daughter. Jane continued to live with her mother until she
was 12 years old. Soon after her mother married Johnnie, he began to sexually molest Jane.
When Jane was 12 years old she was sent to a juvenile facility in another state where her
mother was living at the time. After two months there, she was sent to a group home. During
that period, her stepfather was arrested for 13 counts of sexual abuse of Jane and he remains
in prison. Jane said her mother still wants him back and wants nothing to do with her own
daughter, Jane.
After spending several months in the group home, Jane was returned to her mother’s
home. Then she moved back to this state when her mother married her third husband and Jane
was 15 years old. Jane kept running away from home because her mother blamed her for
Johnnie’s conviction. As a result of so many runaways, Jane was in and out of the juvenile
detention center several times.
From age 15, Jane was in and out of foster homes and detention because of the serious
difficulties in her home. At age 15, Jane became pregnant from a man in his twenties but she
miscarried. At age 17, Jane ran away again and never returned. She began living with Jim, a
164
man in his forties; she became pregnant and they were married when their daughter was a
year old. They were together for 10 years and married eight years.
Summarizing her childhood, Jane said her mother was “never a mother to me.” Her
mother was only 16 years old when Jane was born. Since Jane left home at 17, she has rarely
seen her mother. The last time was several months ago when her mother tried to kill herself for
the fourth time. Her mother has a history of Bipolar Disorder and has been treated for many
years. Jane stated, “Basically, I raised myself and had a hand in raising my sisters. I was
playing the mommy role at 14.” She said that she “always felt like I’m not worthy. It was a
terrible childhood.”
Education
Jane attended regular classes in most courses except math, for which she required
special classes. Her grades were “terrible,” and she repeated the first and third grade. She
completed the ninth grade. She was working on her G.E.D. in when her daughter became ill
and was hospitalized.
Jobs/Occupation
From age 17, Jane earned a living by cleaning houses. When her daughter was in day
care she worked in the day care center for several months until her daughter got sick. When
she lost that job, she and her husband returned to live in this state. At that point, Jane was
pregnant with her second child. Since then she has cleaned a commercial office, worked for a
department store as a dock worker and cleaner, and as a stocker at a store. For the past two
years she has run her own cleaning business.
Criminal History
Jane was charged several times as a juvenile for Unruly and Runaway. However, she
had never been in trouble as an adult until this past year.
Jane was charged with Assault against a neighbor who was once Jane’s babysitter. Jane
said she fired her because she was not doing her job. Then the neighbor began harassing Jane.
Jane got into an argument with her, and she dragged the neighbor out of her house and
assaulted her, causing bruises on half her face and on her neck. Jane served 30 days in the
county jail. She also has convictions in juvenile court for Contributing to the Delinquency of a
Minor and for Interfering with Custody.
Substance Abuse
Jane said she had her first alcoholic drink when she was 12 or 13 years old. By age 15,
she was drinking “as much as I could consume” – all day and night, every day. She continued
to drink at that level for several months until she got a severe kidney infection. Then she
became “an occasional drinker” until her daughter was born and she quit for 10 years. She
started drinking again “because I couldn’t handle the stress. My husband was in and out of the
hospital dying. I was working and taking care of the family, not good enough. He physically,
mentally, and verbally abused me. I wasn’t a good mom. There’s more to life than working all
the time, but I had to work all the time to keep him in money because he spent it all.” From
165
that point on, she was drinking “enough to get a buzz” almost every day. On her birthday she
“got really trashed.”
Jane started smoking marijuana when she was 13 years old, and she “got high every
day” throughout her life until her daughter was born. Then she quit for 10 years and resumed
occasional smoking along with the drinking.
Medical
Jane reported no current medical problems and she was not taking medication at the
time of this evaluation. She said she has had no menstrual period since her incarceration, which
has been more than three months ago, but she was tested and she is not pregnant. She
previously had surgery for endometriosis, removal of her gall bladder, and an appendectomy.
Jane went through counseling after her stepfather went to prison for raping her over a
period of several years. She has had no other mental health treatment and she was never
diagnosed as having a mental illness, psychiatrically hospitalized, or treated for a mental illness.
Jane lived with Jim for 10 years. They were married for eight years and have three
daughters who are age 10, eight, and six years old. Jim was diagnosed with Bipolar Disorder
and alcohol dependency. He once physically assaulted Jane and spent six months in jail for
Domestic Violence. Toward the end of the marriage, Jim refused to take his medication and the
symptoms became much worse. During the last two years of their marriage, they argued most
of the time and Jim would not stop drinking, even when he developed Hepatitis C, which was
made worse by his drinking.
Sexual History
Jane said she has never really dated, although she has been “in and out of so-called
relationships.” She was sexually assaulted by her stepfather for several years as a child. Her
first voluntary sexual relationship was at age 12 with an 18-year-old male. She has had
approximately 10 different sexual partners in her lifetime. All of her male sexual partners have
been much older than her, and her husband was in his forties. She said she “tried” a
relationship with one woman who was also older. By the time of the offense, she had not
engaged in sexual conduct with her husband for six months because of his drinking and
because his mental illness made him impotent, and because she “just didn’t want to be
bothered with him. I made sure he passed out in the chair before I went to bed.”
ACCOUNT OF OFFENSES
Records indicate that the offenses occurred on July 20 through October 7, 2008.
According to Victim, on September 7, 2008, she left her home and ran away and stayed with a
friend of Jane’s for two weeks. After the police came there looking for her, Victim went to live
with Jane. Jane’s three daughters were in one bedroom, and Victim and Jane slept in a bed in a
166
basement room. They touched each other and kissed each other at night, and on three
occasions, Victim put her fingers inside Jane’s vagina and performed oral sex on her.
According to a neighbor who lived next door to the 15-year-old victim, Jane’s husband
was dying of hepatitis and the victim was having problems breaking up with her girlfriend; her
grandmother was dying; and her mother was in jail. When Victim’s grandmother went into the
hospital, Victim went to stay with Jane and they became emotionally, then romantically, close.
Jane touched Victim on the breasts and the outside of her vaginal area one time, and Victim
touched Jane with her mouth and hands.
During this evaluation, Jane said that in July 2005 her husband was in and out of the
hospital; he had left her and was staying with his mother when he was not in the hospital; Jane
was being evicted from their house; her children had head lice; and she was having problems
getting along with her neighbor and mother-in-law. During that period of turmoil in her life,
Jane began to develop a closer relationship with Victim, who was a friend of the neighbor’s
daughter and who sometimes worked in Jane’s business. Victim’s grandmother was in the
hospital and they began to talk to each other about their problems and support each other.
Toward the end of July 2005, they had their first sexual encounter in Jane’s house. In
September 2005, Jane was convicted of Contributing to the Delinquency of a Minor and
Interfering in Custody in Juvenile court, and she was sentenced to six months in jail.
Jane said that they had a total of three sexual encounters. They touched and kissed
each other. Victim put her fingers inside Jane’s vagina and performed oral sex on her. Jane said
that she touched Victim’s breasts and vagina, but she never penetrated her. Jane stated, “I
never made her do anything she didn’t want to do, and I’m never gonna do this again because
I have three little kids that I love very much that need their mommy.”
Jane was administered the Minnesota Multiphasic Personality Inventory-2 (MMPI-2). Her
test results were considered valid. Persons with similar test results are angry, sullen,
argumentative, irritable, and suspicious. They are immature, narcissistic, and self-indulgent
individuals who make excessive demands on others for attention and sympathy, while feeling
resentful of demands made on them by others. They are suspicious of the motivations of others
and tend to blame others for their problems and wrongdoing. They are often manipulative and
rigidly argumentative. They are overly sensitive to criticism or implied slights and often jump to
conclusions based on inadequate data. They are generally controlled but may exhibit episodic
outbursts which surprise those around them. They deny serious psychological problems,
rationalize, and blame others. They do not accept responsibility for their own behavior and have
unrealistic and grandiose self-appraisals.
Appearance
Jane B. Doe is a 28-year-old white woman with light brown hair that was pulled back
into a ponytail. She was dressed in an orange jail uniform, and her hygiene and grooming were
adequate for the circumstances. She said she was 5’6” tall and weighed 105 pounds when she
was first incarcerated, but has gained 30 pounds since then.
167
Behavior
Jane followed instructions and responded to questions. Her movements were not
unusually slow or rapid, and she showed no signs of lethargy, excessive distractibility,
uneasiness, or hyperactivity. She maintained adequate eye contact. She appeared calm and her
behavior was not highly unusual or bizarre. She said she is not impulsive and despite the
impulsive nature of this offense, rarely makes major decisions without forethought.
Jane was aware of the time, place, and general circumstances for the present
evaluation. She has been more forgetful recently, which she believes may be the result of
increased stress. During this evaluation her memory and concentration did not appear to be
significantly impaired.
Jane read an Informed Participation Statement without error, and she showed adequate
understanding of what she had read by rephrasing it in her own words and by answering
questions about what she had read. Her speech was clear, coherent, and spontaneous, and she
was responsive to questions. She spoke in a normal tone of voice and at a normal pace. Her
vocabulary, sentence structure, grammar, and the use of abstract verbal concepts were within
approximately average range.
Jane’s mood was serious and sad. She showed no signs of acute anxiety, depression,
fear, or other acute distress, but she described her recent mood as sad and said she cries a lot.
She said that it sometimes feels as though the stress will never end.
activities are often signs of a mood disorder. She reported a significant decrease in sleep and a
significant increase in appetite and weight. She said her energy has been better than it was
before her incarceration, but on days when she is very depressed, she has no energy. Her
concentration seemed fine during the evaluation. She said she spends her time in jail by playing
cards and talking to people.
Jane said she has been feeling depressed for the past three or four years, but she could
not afford treatment and she had no medical insurance. For years she has been receiving only a
few hours of sleep and she has felt fatigued with poor energy, but she managed to work fulltime at her own business and take care of her three daughters. She said she was fine all day
until her husband got home from the bar, which was usually by early evening. Then she would
become sad and anxious and feel hopeless again.
It is my opinion that in the years before her current incarceration and during this
evaluation, Jane was experiencing many symptoms of chronic depression, anxiety, and other
emotional distress. She said she had no one to talk to, and had a “bad habit of keeping it in,
until it exploded.”
168
Jane said she had never experienced hallucinations, and she did not respond to
glances, etc.).
Thought Content
Jane reported no current thoughts, plan, or intent of suicide or thoughts of harming
others. She revealed no delusional, irrational, or illogical thinking during this evaluation and
reported no bizarre beliefs such as mind control or thought insertion.
Regarding her behavior during this offense, she stated, “I feel terrible . . . it was wrong.
At 15, it’s a bad age. I should have known better. I sure wouldn’t want it to happen to my
daughters.” When asked if she had anything to add, she stated, “I’d like you to tell the judge
that I’m sorry and I’m not gonna do it again.” She said that she wants to move in with her
sister “because that’s the only family I have.” As soon as she can get a place of her own, she
wants to work toward getting her children back with her.
Thought Processes
There were no signs of psychotic thought processes. Her judgment, as shown by her
personal history and responses to formal testing, was not impaired. When asked what she
should do if she were the first person in a movie theater to see signs of a fire, she replied, “I’d
run out of the building and call 911.”
Jane described herself as follows: “I’m fairly intelligent. I’m a good mother. I’m a good
person. If I see somebody that didn’t have nothing, I’d give them my last dime. I’d try to help
anybody that I could. Basically, I’m not a bad person. I’m not a monster.” She said that love
means “that I’d do anything that he asked me to do, anything.” Within five years she hopes to
have “enough money that I can take care of my kids, get a nice house, have a pretty good
income.”
It is my opinion that Jane is not mentally retarded or mentally ill. She does not meet the
criteria for Antisocial Personality Disorder or any other personality disorder, and she is not
psychopathic.
The purpose of the current evaluation is to assist the court in determining whether Jane
B. Doe should be classified as a sexual predator. Under the law of this jurisdiction, a “sexual
predator” means a person who has been convicted of, or pleaded guilty to, committing a
the future.
169
Legal Criteria
1.
Jane is 28 years old. More youthful offenders tend to have a higher likelihood of
recidivism. Her risk is slightly increased by this factor.
2.
A person’s criminal history, especially her history of prior sexually oriented
offenses, is a very effective predictor of future offending. Jane has prior
convictions including numerous juvenile offenses, and offenses as an adult that
included Assault, Contributing to the Delinquency of a Minor, and Interfering with
Custody. Her risk is increased by this factor.
3.
The victim was an adolescent. Those who offend against children are less likely
to be convicted of another sex offense than those who offend against adults.
However, that may be due to the difficulty prosecuting offenders of child victims,
rather than the actual likelihood of them committing another sex offense. Those
who offend against adolescent victims have a conviction rate between that of
child and adult victims. Her risk is increased by this factor.
4.
There was one victim in this offense.
5.
Jane Doe did not use alcohol or drugs to impair the victim. However, research
has determined no relationship between this factor and increased risk of
recidivism.
6.
offenders:
Jane Doe has no prior convictions for sexually oriented offenses, and she has
never participated in sex offender treatment.
170
7.
Jane Doe is not mentally ill or disabled.
8.
There is no known pattern of abuse of the current victim or any pattern from one
incident to another.
9.
Jane Doe did not use force or weapons, excessive force, or cruelty in the
10.
conduct:
There are no other risk factors in this case.
Actuarial Risk Assessment
The actuarial risk assessment instruments that were developed to predict sex offense
recidivism in male sex offenders have not yet been adequately researched with female sex
offenders. Therefore, no actuarial tests were used to predict recidivism with this offender.
average recidivism rate, for the recidivism in that offense category is estimated. Next, based
upon her personal history and various psychological factors, the offender’s individual risk factors
are used to determine whether the offender’s risk of recidivism is significantly different from
that of the typical offender in her offense category.
concerning sex offenders whose victims are adolescents who are not family members, range
from 20% to 40%, with most estimates falling in the low 20%. Jane Doe’s individual risk factors
include her age; her criminal record; having a conviction for a prior nonsexual violent offense;
and the age of the victim. It is my clinical opinion that she has a moderate risk of committing
another sexually oriented offense in the future.
171
SUMMARY and OPINION
Based upon information provided by collateral sources of information, the clinical
interview, and psychological testing, it is my opinion that Jane Doe presents a low-to-moderate
risk of committing one or more sexually oriented offenses in the future.
172
E.
MODULE FIVE: SENTENCING DECISION AND ITS IMPLICATIONS, INCLUDING
CONDITIONS TO IMPOSE
This module addresses particular sentencing factors judges may consider in sex
offender cases; content of Pre-Sentence Investigation Reports; commonly used risk
assessment tools for sex offenders (in the longer version of Module Five); victims’ rights
and how they may be addressed; and probation issues in sex offender cases. This
module also contains seven to ten slides on each case study. The case study slides are
at the last half of the module for ease in editing out case studies that may not be
covered in the presentation (see “Presenting the Curriculum” and the description of
Module Four for recommendations as to the number of case studies to cover for
particular course lengths). Module Five should be presented regardless of the length
of the course.
As set forth in “Suggestions for the Judicial Educator and Faculty” section, above,
there are two versions of Module Five: Module Five-S – a shorter version, for use in
conjunction with Module Two; and Module Five-L – a longer version, for use at a course
or presentation without Module Two. Module Five-L contains assessment slides;
Module Five-S does not. Both versions of the module provide information on
sentencing factors judges may consider in sex offender cases; the role of the victim at
trial and sentencing; appropriate conditions of probation; and other issues relative to
sentencing. The longer version is set forth below.
For recommendations on which module to choose for your judicial education
course, see “Presenting the Curriculum,” above.
Approximate time: 55-80 minutes (shortened version) or 70-100 minutes (longer
version), depending upon length of discussions, plus approximately 5-8 minutes per
case study discussion.
LEARNING OBJECTIVES
•
•
•
•
•
•
•
Identify sentencing factors a judge may consider;
Determine what information should be in pre-sentence report or investigation;
Understand assessment tools;
Examine role of victim at trial and sentencing;
Determine appropriate conditions of probation;
Identify unique issues relative to female sex offenders; and
Analyze continuum of sanctions for probation violations.
173
•
•
Large Group Discussion: Case Studies
HANDOUT
•
Static-99 Coding Form
In the Resource Center is the Static-99 Coding Form. We recommend you hand
this out to the participants as you discuss the Static-99 so they may follow along
with the scoring on this assessment.
174
Slide 1
Sentencing Decision and Its Implications,
Including Conditions to Impose
Lecture (1 minute):
Slide 2
Learning Objectives
• Identify sentencing factors a judge may
consider;
• Determine what information should be in a
pre-sentence report or investigation;
• Interpret assessment tools;
• Examine the role of the victim at trial and
at sentencing;
• Examine approaches to sentencing sex
offenders;
Lecture (1 minute):
session with the participants.
Slide 3
Learning Objectives (cont.)
• Determine potential conditions of
probation;
• Identify unique issues relative to female
sex offenders; and
• Analyze continuum of sanctions for
probation violations.
Slide 4
Sentencing Factors
Victims’ Rights
Sentencing Factors
Probation
Case Studies
OVERVIEW
175
Slide 5
SENTENCING FACTORS
176
Slide 6
In sex crimes cases, there are a
multitude of factors to consider – some
of which are characteristic only of sex
crimes cases. The judge’s level of
discretion relative to all aspects of
sentencing must be taken into account
first.
Sentencing Factors
• The Law
– State prison mandatory?
– Mandatory conditions of probation?
• The Crime
– Extreme violence?
– Weapons?
– Multiple victims?
– Impact on victim
Any sentencing question must begin
with the law. Regardless of what a
judge may want to do in a particular
case, at times the legislature will
mandate certain consequences. Unless
those consequences are so Draconian
that they translate into a “cruel or
unusual” situation, the sentencing judge
will be obliged to follow them. In
California, for example, a single sexual
penetration with a finger of a child
under the age of 10 will result in a
mandatory state prison sentence of 15
years to life and lifetime registration as
a sex offender. A judge working in the
area of sex crimes must be familiar with
these kinds of rules, not only for the
purpose of sentencing after a trial, but
also to effectively negotiate a pre-trial
resolution – the court must understand
the limits of what can be done with
certain charges.
Other aspects of the crime that may be
characteristic only of sex crimes should
also be considered at the outset, such
as whether the crime involved extreme
violence, weapons, or multiple victims.
Not only will these factors effect
sentencing choices in the abstract, but
they may trigger certain mandatory
sentencing schemes. In many, if not all,
jurisdictions, the attitude of the victim is
taken into consideration, as will be
more fully discussed later.
177
Slide 7
Undoubtedly, the biggest single
indicator of future risk of crime is the
defendant’s criminal history. Not only
will the court want to consider this
factor on an intuitive level but, as we
will discuss, previous crimes are also a
factor in certain formal risk
assessments used for sex offenders.
Sentencing Factors (cont.)
• Defendant’s History
– Prior record
• Prior sex crimes?
• Prior crimes of violence, weapons?
– Family history and structure
– Employment history
– Physical health
Family and employment history and
physical health are important factors to
assist in understanding the defendant;
however, these factors will likely be
secondary to the nature of the crime,
the defendant’s criminal history, and
the defendant’s formal risk assessment.
These factors may become very
relevant, however, if the court is
considering probation. The presence or
absence of these factors may be a
strong indicator of whether the
defendant will be successful on
probation, and the level of services he
will require.
Slide 8
(3-4 minutes):
As with family history, the defendant’s
treatment history is often a secondary
consideration in the sentencing. These
factors become very important if the
court is considering a grant of
probation. Has the defendant been in
treatment before? If so, what has
worked, what has not? Is the defendant
intellectually capable of completing a
rigorous treatment program? Does the
defendant have a dual diagnosis to be
treated?
• Defendant’s Treatment Needs
– Psychological history, adjustment,
and current status
– Intellectual and cognitive functioning
– Substance abuse history
– Sexual attitudes
– Response to prior treatment
178
Slide 9
Psychological assessments have an
important role in sentencing
defendants. Unless state prison is
mandated, courts frequently look to
mental health professionals to
determine the treatment needs of the
defendant and whether the defendant is
treatable at all. Responsible
psychological evaluations of sex
offenders do not rely on a single
method of evaluation, but result from
consideration of a number of methods
of assessment.
• Defendant’s Risk of Re-offending
– Actuarial assessment
• Static-99
• RRASOR
– Clinical
– Psych/sexual evaluation
– Motivation to change
– Community support
Actuarial assessment: The most
common are STATIC-99 and RRASOR.
These assessments, discussed more
fully later, review the history of the
defendant in determining the
defendant’s risk of reoffending. These
assessments deal with “static,”
unchanging factors such as prior
convictions, the nature of prior victims,
and whether prior victims were
strangers.
Clinical factors: This is an assessment
by a trained mental health professional
to determine the defendant’s current
mental status. The assessment also
may include “dynamic” factors such as
what treatment the defendant has
undergone and how well he did in the
program.
Psycho/sexual evaluation: This may
involve the use of such techniques as
the plethysmograph [pluh-thiz-muhgraf] or such other tools to determine
how a defendant processes sexual
images or thoughts.
Motivation to change and community
support: Important secondary
considerations assist in determining
whether the defendant is suitable for
probation and treatment.
179
Slide 10
(3-4 minutes):
Notwithstanding all of the defendant’s
identified treatment needs, one of the
most important considerations is
whether the legal or penal system can
realistically meet those needs. For
example, a judge sentencing a sex
offender to state prison must have a
basic understanding of what treatment
programs are available to prison
inmates. Are there effective communitybased programs that can meet the
defendant’s needs? What is the cost of
the programs? Who is to pay for the
programs? Can the defendant be
effectively supervised in these
programs?
– Correctional and treatment resources
• Within institution
• Community-based
• Ability to pay
• Degree of supervision
Slide 11
PRE-SENTENCE INVESTIGATION
REPORTS
180
(3-4 minutes):
The Pre-Sentence Investigation Report
is the single most important document
a court will have in deciding the
appropriate sentence in a case. Ideally,
the report will address all of the
sentencing factors that have been
discussed. What does the judge do if
the report is lacking in any significant
aspect?
Slide 12
Pre-Sentence Investigation Reports
What items or information need to be in
a pre-sentence report or investigation?
•
All of the foregoing factors
Some information may come from
private probation reports prepared by a
person hired by the defendant.
Depending on the background and
completeness of the report, these
documents can provide valuable insight
into the defendant’s history, current
mental state, treatment needs, and
amenability to a grant of probation.
Slide 13
RISK ASSESSMENT TOOLS
181
Based on the risk factors linked to
recidivism among sex offenders,
researchers have developed several
sex offender-specific risk assessment
tools. The tools listed on this slide are
examples of the most commonly used
risk assessment instruments in the
field. (The presenter should be aware
of any risk assessment tools used or
under consideration by stakeholders in
the jurisdiction in which the curriculum
is being provided.)
Slide 14
• Minnesota Sex Offender Screening Tool –
Revised
• ACUTE- and STABLE-2007
• Sex Offender Risk Appraisal Guide
• Rapid Risk Assessment for Sexual
Offense Recidivism
• Static-99
• Vermont Assessment of Sex Offender
Risk
Some of these risk assessment tools
focus primarily on static variables,
others are used to assess dynamic
variables, and some include both static
and dynamic risk factors.
Generally speaking, when assessments
or evaluations include one or more of
these tools, judges can have a greater
degree of confidence in the findings.
This is, of course, contingent upon the
assessor’s training and expertise using
these tools. Sometimes, evaluators
may use tools that are not researchsupported, or that are not designed
specifically to provide information about
sex offenders’ risk, to base their
decisions about risk. Or they may use
the “right” tools, but not use them
correctly (e.g., incorrectly stating
definitely that the tool indicates that a
given sex offender will or will not
reoffend). One of the goals of this
curriculum is to help judges to become
informed consumers about these kinds
of assessments, so that they do not
automatically assume that what the
evaluator says is always correct.
A brief discussion of each assessment
tool follows on the next few slides.
182
Slide 15
Lecture (1 minute):
The Minnesota Sex Offender Screening
(MnSOST) and revised assessment
(MnSOST-R) were designed in
response to the State of Minnesota’s
demands for a more formal and uniform
process to identify violent sex offenders
(Epperson et al. 2003:7). It is
composed of 21 survey items that
address sexual and non-sexual offense
history, substance abuse history, and
treatment compliance among extrafamilial sex offenders.
Minnesota Sex Offender Screening
(MnSOST and MnSOST-R)
• Designed to predict sexual recidivism
in rapists and intra-familial child
molesters
• Uses 16 static and dynamic variables
to distinguish three levels of risk
The STABLE- and ACUTE-2007
(Hanson et al., 2007) were developed
primarily for supervision officers to
assess dynamic risk factors with sex
offenders. They are generally used in
conjunction with the Static-99 (which is
discussed in this section).
Slide 16
ACUTE- and STABLE-2007
• Developed primarily for supervision
officers
• Access dynamic risk factors over
acute and longer time periods
The ACUTE-2007 measures factors
that can change over an acute period of
time (hours, days, weeks) that may
indicate a likelihood for sexual reoffending. It consists of seven areas of
acute risk: access to victims, emotional
collapse, collapse of social supports,
hostility, substance abuse, sexual
preoccupations, and rejection of
supervision.
STABLE-2007 measures factors that
have the potential to change, but may
endure, for months or years. The
assessment consists of a guided
interview process that covers six major
areas of risk: intimacy deficits,
significant social influences, general
and sexual self-regulation, attitude
supportive of sexual assault, and
cooperation with supervision.
183
Slide 17
Lecture (1 minute):
The SORAG (Quinsey et al., 1998) is
based on years of work by Quinsey and
his colleagues studying the recidivism
of more than 800 serious offenders in
the Ontario correctional system. There
is a dispute as to whether at least five
of the SORAG items are empirically
supported, including:
Sex Offender Risk
Appraisal Guide (SORAG)
• Fourteen-item instrument
• Modification of the VRAG
• Used to assess the risk of violent and
sexual recidivism of previously
convicted sex offenders within a
specific period of release
•
•
•
•
•
History of alcohol problems;
Marital status;
History of nonviolent offenses;
Meeting DSM-III criteria for
Personality Disorder; and
Meeting DSM-III criteria for
schizophrenia (coded as
reducing recidivism risk).
The SORAG also includes the
Psychopathy Checklist-Revised (PCLR) (Hare, 1991) scores in its overall
assessment which requires specific
training.
184
Slide 18
The Rapid Risk Assessment of Sexual
Offense Recidivism (“RRASOR”)
(Hanson, 1997) is one of the first
research-supported sex offenderspecific instruments. It is a brief, fouritem screening instrument used to
assess risk of sexual offender
recidivism among males who have
been convicted of at least one sexual
offense. It relies on information
obtained from files and has been tested
extensively on forensic populations.
Rapid Risk Assessment for Sexual
Offense Recidivism (RRASOR)
•
•
•
•
Four Factors
Number of prior sex offenses
Offender’s current age
Gender of offender’s victim(s)
Offender’s familial relationship, if any,
to victim(s)
The four items on the RRASOR static
risk assessment are:
•
•
•
•
Number of prior sex offenses
(charges, convictions)
(Thorndyke stated, in 1922,
that “the best predictor of
future behavior, is past
behavior.” Research indicates
that having prior sex offenses
is a predictive factor for sexual
recidivism.) Note: The
prosecutor’s charging
practices can greatly affect
this score;
Offender’s current age
(whether he is young: 18-25);
Gender of the offender’s
victims (if there were any male
victims, the risk is higher); and
Offender’s familial
relationship, if any, to the
victim (if there were any
unrelated victims, the risk is
higher).
The RRASOR assessment yields a
score ranging from 0 to 5. The
corresponding recidivism rates, over a
10-year window of opportunity, range
from 6.5 to 73.1%.
185
Slide 19
The Static-99 assessment was devised
to assess the recidivism risk of male
offenders age 18 and older. It is based
on a review of the records of 31,000
adult males in England and Canada.
Static-99
• Developed subsequent to RRASOR
• Incorporates RRASOR’s four factors,
adds additional factors
• Uses only static (unchangeable)
factors
• Estimates are considered a baseline
of risk for violent and sexual
recidivism
In addition to the four factors tested in
RRASOR (number of prior sex
offenses; offender’s age; whether any
male victims; whether any unrelated
victims), the Static-99 factors in six
others (discussed on the following
slides).
Static factors are gleaned from the
defendant’s history and records;
dynamic factors include such things as
the offender’s current mental condition,
access to victims, substance abuse,
and participation in treatment.
The Static-99 is available online at
www.static99.org; the website also
contains additional information,
including a manual and coding form.
The test is free; however, training is
needed to administer and interpret the
test.
The Static-2002 will soon replace the
Static-99.
186
Lecture (3-4 minutes) with Handout:
Static-99 Coding Form (included in
Resource Center on CD). (The
presenter should hand out the Static-99
Coding Form at this stage. It is helpful
in following along with the discussion of
the factors.)
Slide 20
Static-99
•
•
•
•
Ever Lived with an Intimate Partner
Index Non-Sexual Violence
Prior Non-Sexual Violence
Prior Sentencing Dates
In addition to the four factors previously
discussed for the RRASOR, the Static99 assesses these additional six factors
(continued on next slide):
•
•
•
•
187
Ever Lived with an Intimate
Partner: Whether the offender
has lived with an intimate
partner for two or more years
(the relative risk of reoffending
is lower in men who have
been able to form intimate
partnerships);
Index Non-Sexual Violence: A
separate conviction for a nonsexual violent offense at the
same time the offender was
convicted of the index (instant)
offense predicts seriousness
of potential damage of a
subsequent offense and is
strong indicator of future overt
violence;
Prior Non-Sexual Violence:
Prior convictions for nonsexual violence also predicts
seriousness of potential
damage of a subsequent
offense and is strong indicator
of future overt violence;
Prior Sentencing Dates: the
number of times the defendant
was sentenced for any crimes
(the risk is higher if the
offender’s criminal record
indicates four or more
separate sentencing dates
prior to the instant offense);
Lecture (2-3 minutes) (cont.):
5. Non-Contact Sex Offenses
(exhibitionism, obscene phone
calls, etc.): “Offenders with
paraphilic interests are at increased
risk for sexual recidivism. For
example, most individuals have little
interest in exposing their genitals to
strangers or stealing underwear.
Offenders who engage in these
types of behaviours are more likely
to have problems conforming their
sexual behaviour to conventional
standards than offenders who have
no interest in paraphilic activities.”
See Static Coding Rules, Revised –
2003 (English), p. 50 at
www.static99.org/pdfdocs/static-99coding-rules_e.pdf.
6. Any Stranger Victims: The basic
principle is that research shows that
having a stranger victim is related to
sexual recidivism. A stranger is
anyone not known to the defendant
24 hours prior to the crime.
Slide 21
Static-99 (cont.)
• Non-Contact Sex Offenses
• Any Stranger Victims
Slide 22
It is important to understand that the
results of the assessment do not say
whether this defendant will reoffend.
The results only indicate that persons
with similar backgrounds tend to
reoffend at the rate given in the
assessment.
Static-99 (cont.)
Score
Risk Category
0–1
Low
2–3
4–5
6+
Moderate – Low
Moderate – High
High
188
Slide 23
The Vermont Assessment of Sex
Offender Risk (VASOR) is a risk
assessment scale for adult male sex
offenders age 18 and older. It was
originally designed to assist probation
and parole officers in assessing the
likelihood of sexual recidivism for
placement and supervision decisions.
Vermont Assessment of Sex
Offender Risk (VASOR)
• Assesses risk of adult male offenders
• Composed of two scales
– 13-item re-offense scale
– 6-item violence scale
• Interaction of variables is considered
important factor in determining
individual’s overall risk level
The re-offense scale is designed to
assess the likelihood of sexual
recidivism; the violence scale is
designed to assess the nature of an
individual’s violence history and offense
severity. The interaction of these
variables, re-offense risk and violence,
are considered important factors for
determining an individual's overall risk
level (McGrath, 1995).
Because the VASOR does not provide
a comprehensive survey of all factors
relevant to sexual offending, it is
recommended that it be used as a
decision aid along with professional
judgment and other appropriate tools.
See also, Vermont Assessment of Sex
Offender Risk Manual: Research
Edition (2001).
Slide 24
VICTIMS’ RIGHTS
189
Slide 25
(3-4 minutes):
Historically, victims have taken a
secondary role in the criminal justice
process. While their testimony may
have been necessary to secure a
conviction, the traditional attitude has
been that the “judge knows best” in
fashioning the ultimate disposition –
victims are obviously biased and should
have little or no say in the outcome of a
case. In the past decade, however,
there has been a strong national
movement asserting the right of the
victim to participate in most, if not all,
stages of criminal proceedings.
Victims’ Rights
• Most states have a “Victims’ Rights”
statute.
• Defining a “victim” may be
problematic. (All victims are not
created equal.)
• If the victim is a minor or is deceased,
a member of a victim’s family or
another person may exercise the
rights of the victim.
Depending on the law applicable in the
particular jurisdiction, it is not always
easy to determine the identity of the
victim. Clearly the woman who has
been raped is a victim. But what of her
husband, her children, her parents, or
even the community? Who has the
right to speak at the sentencing
hearing? Is every sentencing in a sex
offense case capable of being turned
into a “town hall meeting” with everyone
having a right to give their say?
(3-4 minutes):
What is the right of the victim to attend
the trial? Can the victim be excluded
prior to giving testimony? What
authority is retained by the trial judge to
secure the courtroom from
inappropriate or dangerous behavior?
Is the defense allowed to subpoena a
member of the victim’s family as a ploy
to keep the family out of the courtroom
during the trial? What are some of the
alternatives available to the court to
assure the right of the victim to
participate in trial, yet assure the
defendant a fair day in court?
Slide 26
Victims’ Rights (cont.)
• Many states permit the victim to be
present during trial and sentencing
even though she/he may be a witness
against the defendant.
190
(3-4 minutes):
What is the appropriate means of giving
a victim’s statement? Orally? In writing?
Reading? Video? All of these? What
can the victim talk about? Is there a
statute governing the content? In
California, for example, the victim can
talk about the crime, its impact on the
victim, what should happen to the
defendant, and the need for restitution.
Slide 27
• Typically, the victim has the right to
prepare and submit a victim impact
statement.
• Also, a victim has the right to make a
statement prior to sentencing, and
state laws often require that “the court
shall consider” a victim’s statement.
How much weight does a judge give a
victim’s statement of views? Does it
make the difference between whether
the defendant is sentenced to state
prison or a local jail? Does it affect the
conditions of probation, if granted?
191
(3-4 minutes):
Often the victim’s impact statement is
the first and only time that the victim will
have the opportunity to tell the
defendant how his actions impacted her
or him. Should the sentencing hearing
be a part of the victim’s healing
process? If it should, should the court
allow the victim to directly address the
defendant? What is the purpose of the
statute allowing the comments to be
made (e.g., is it to help guide the court
in deciding the sentence, so should be
addressed only to the court?) Do the
security concerns change when the
victim address the court as opposed to
the defendant? Do the judge and the
bailiff have a plan in place for handing
statements by the victim? Is the bailiff
going to be in a physical position to
effectively intercede if the there is
violence in the courtroom?
Slide 28
• Statement to the court or defendant?
– Security concerns
– Oral? Reading? Video?
• Allow questions by defendant?
• Defendant’s right to speak?
Does the law allow the victim to be
questioned by the defendant? If the
court has discretion, should questioning
be allowed?
Nowhere is the right of the victim to
participate more important than at the
sentencing hearing. How a victim
participates varies by jurisdiction. In
some states, the victim gives an impact
statement that is either a part of, or
separate from, the Pre-Sentence
Investigation Report. In some states,
the victim gives an oral statement; or
submits an impact statement that is
supplemented by an oral statement,
etc.
Does the defendant receive notice of
the impact statement; if so, when?
Does the defendant or his family have a
right to speak at sentencing? Must the
defendant be under oath and subject to
questioning by the prosecution?
192
Lecture (1 minute):
In this next segment, we will explore
some of the more common conditions
of probation imposed on sex offenders.
Assume the court has already made
the decision not to send the offender to
prison and to offer treatment and
monitoring.
Slide 29
PROBATION
In considering any of these conditions,
the court must balance the need for
community protection (particularly for
the victim), the right of the defendant to
receive fair and practical conditions of
probation, and the ability of the local
criminal justice system to provide the
needed services and monitor
compliance.
As any experienced trial judge will
admit, there never is any guarantee
that a defendant won’t reoffend; the
court only can minimize the chances of
reoffending through clear and firm
guidelines for conduct and a rigorous
system of monitoring compliance.
Lecture (1 minute):
The conditions of probation generally
group into eight categories:
Slide 30
Probation
What Conditions of Probation or Supervision
for Sex Offenders are available?
•
•
•
•
•
•
•
•
Treatment;
Contact with others;
Supervision;
Residence;
Employment;
Travel/activities;
Access to sexual material; and
Substance abuse.
We will examine each.
193
(3-4 minutes):
Once the decision is made to keep a
person local, the next major decision
will be the designation of the most
appropriate treatment program for the
offender.
Slide 31
Treatment
• Participate in and complete
specialized sex offender treatment
program
• Sign release of information
• Submit to all testing
Must it be residential? There are very
few inpatient qualified sex offender
programs other than those offered by a
commitment to a state hospital; an
option that won’t be available to a
typical probationer. If there is a private
inpatient program available, it will be
expensive. Does the defendant have
the ability to pay for it? Are there
adequate outpatient programs or
therapists? Must the defendant
complete individual counseling or group
therapy, or both?
What is critical is the active monitoring
by the court and/or the probation
officer. What should be the interval for
filing reports? Does the court get the
reports directly or do they go through
probation?
The court should obtain a full mental
health release of information at the time
of sentencing. It is critical that the court
have full access to defendant’s
progress in treatment. General
releases of information likely won’t be
sufficient, but must comply with HIPPA.
Defendant must be willing to comply
with all psychological testing
recommended by the treatment
provider. This is important to assure
that the prescribed program is
adequate for defendant’s needs.
194
(3-4 minutes):
Depending upon the stability of the
defendant, the court will want to
consider proper stay-away orders.
Ordering the defendant to stay away
from, and have no direct or indirect
contact with, the victim is basic.
Slide 32
Contact with Others
• No contact with minor male/females
• No contact without direct supervision
• Stay away from places where children
congregate
• No association with sex offenders
If the offense is against children, the
court should consider no unsupervised
contact with minor children – or the
court can make the restriction sexspecific for the offender. The decision
regarding supervision must be made
with some care. If the victim is in the
defendant’s family, who is to
supervise? Do you trust the mother if
the father was the offender? Do you
trust the father’s mother or other
relatives?
Depending on the way the sex crime is
committed and the offender, it may be
necessary to keep the defendant away
from schools, parks, recreation facilities
or any other places where children tend
to congregate. If a stay-away is
ordered, how is it to be monitored? Is
the defendant going to be wearing a
GPS (discussed later)?
(1-2 minutes):
Consider a stay-away of certain
distances, such as 100-yards, to
prevent the “drive-by” type of
harassment or contact. Again, is GPS
available for monitoring?
Slide 33
Contact with Others (cont.)
• Stay 100 yards from victim,
residence, school, work
• No contact with family of victim
195
(3-4 minutes):
As mentioned several times, adequate
supervision is the key to assuring
defendant’s success on probation.
However, research demonstrates that
providing more supervision or service
than is warranted can actually increase
the likelihood these individuals will
reoffend. Are the probation officers
trained in dealing with sex offenders? Is
there a specialized unit to manage
these offenders?
Slide 34
Supervision
• Register as sex offender
• Carry registration certificate at all
times/ present to law enforcement
• Search and seizure
• Polygraph examination
Is the defendant required to register?
Most, if not all, states require
registration for any major sex crime.
Does the court have a duty to advise
the defendant at time of sentencing
about the registration requirement? If
no duty, should the court do it anyway?
Search and seizure conditions may be
important if there are requirements to
stay away from children. The condition
will allow the probation officer to spotcheck the defendant to be sure he is
not alone with restricted persons.
An important tool in monitoring
compliance is the polygraph.
Frequently, state law restricts the ability
of probation officers or treatment
providers from telling the court the
results of the examination. But experts
generally agree that the polygraph is an
effective means to check up on
defendant’s activities, interests and
associations. Even though the actual
results of the polygraph may be
inadmissible, the evidence that is
discovered as a result of the exam is
admissible.
196
One of the more controversial
restrictions on sex offenders is where
they may live. California, for example,
adopted a sweeping restriction that
prohibits all sex offenders from residing
within 2,000 yards of any school,
playground or place where children
regularly congregate; the provision is
being challenged in the courts. The
issue is the extreme distance; in
metropolitan areas, with many schools
and parks, sex offenders are finding it
nearly impossible to live in the city and
still comply with the law. Lesser
distances imposed by the courts in
individual cases may be realistic and
appropriate. However, studies
conducted by the Minnesota
Department of Corrections and
Colorado Department of Public Safety
have not shown any correlation
between sex offender recidivism and
living near schools or parks (Minnesota
Department of Corrections, 2003;
Colorado Department of Safety, 2004).
Slide 35
Residence
• Not within one mile of school, park, or
recreation facility
• Not with another sex registrant
• Inform any person living with of status
as sex offender
• No minors in residence
Advising others of an offender’s
registration status may be important if
the offender is likely to establish a new
relationship where new victims may be
found. Special protection may be
required if the defendant intends to
reside in a home that has new potential
victims such as step-children.
Circumstances of employment must be
monitored if there is potential
victimization. The last thing anyone
wants is for a pedophile to get a job
with an elementary school where there
is ready access to new victims.
Slide 36
Employment
• No employment that requires entry
into residence
• No employment that regularly has
contact with minors
• Approval of all employment by
probation officer
197
Slide 37
These conditions (and the additional
one on the following slide), to a greater
or lesser degree, all allow close
monitoring by the probation officer.
Where a GPS program is not available,
there may be some protection gained
by monitoring a log maintained by the
defendant of his activities; such a log
may allow the probation officer to find
verification (or lack of verification) of
defendant’s activities that might bring
him in contact with potential victims.
Travel/Activities
• Not to enter, travel past, or loiter near
adult bookstores, massage parlors,
topless bars or sex shops
• Maintain detailed travel log
• Wear GPS system
• Probation officer approves all recreation
and leisure activities
• Probation officer approves route of travel
to work or treatment and means of travel
GPS systems are the newest and most
effective way of monitoring the
whereabouts of sex offenders. Costs
usually can be passed to the
defendant. Any attempted removal of a
GPS system would be clear violation of
probation. Committing a crime while on
GPS, depending on the circumstances,
can be a very good indicator of
defendant’s risk; such a violation may
indicate the defendant is no long
suitable for treatment in the community
and must be sent to prison.
(2-3 minutes):
These conditions also relate to
circumstances where the defendant
may receive undesirable sexual
stimulation.
Slide 38
Access to Sexual Material
• No possession of children’s/women’s
clothing (for male offenders)
• No possession of pornographic
material, whether involving adults or
minors
• No possession of computer/internet
access
• No use of 800 or 900 numbers
Judges must often decide whether an
internet or computer restriction is
proper and effective when the
defendant’s employment requires such
activity. Should the court require the
defendant to get other employment?
Can effective exceptions be made to
allow access only in the context of
employment? Does it make a difference
if the mechanism of the crime involved
the use of some form of internet
victimization?
198
Lecture (1 minute):
Defendants convicted of sex crimes
frequently will claim that the criminal act
resulted from the use of alcohol or
controlled substances. Whether or not
the statements are true, if the facts
exist, restrictions should be imposed.
The defendant should be left with no
excuse for non-compliance.
Slide 39
Substance Abuse
• May not possess or consume alcohol;
may not frequent places where
alcohol is chief item of sale
• May not possess or use narcotics or
controlled substances without medical
prescription
• Drug and alcohol testing
Many states require defendants to
submit to non-confidential AIDS testing
in any crime where the exchange of
bodily fluid is likely. Even if the law
does not require it, the court certainly
would have the jurisdiction to order it
for the victim’s peace of mind.
Slide 40
Miscellaneous
• No possession of cameras or video
equipment
• Non-confidential AIDS testing
• No possession of identity concealing
items
minutes):
If a defendant violates a condition of
probation, what are the available
sanctions? Virtually all of the areas we
have discussed open themselves to
enhanced application. So if the
defendant fails in treatment, different
treatment can be ordered. If alcohol or
drug conditions are violated, there is
custody time or treatment.
Slide 41
Available Sanctions
•
•
•
•
•
Treatment
Victim Contact
Driving and Travel
Daily Living
Social/Sexual
Behavior
• Internet
Restrictions
•
•
•
•
Work Restrictions
Alcohol and drugs
Disclosure
Polygraph,
Plethysmograph,
other tests
• Other Technology
Restrictions
If there is a violation, what should be
the judge’s response? Is it proportional
to the violation? Is it graduated with the
number of past violations and
sanctions? What is the level of risk to
the public? Does the sanction facilitate
treatment?
199
minutes):
All of the above? Any other ideas?
Again we must ask, can there ever be a
guarantee of human behavior? At what
point do we reach our limits and must
turn to incapacitation to protect the
public as long as possible?
Slide 42
Limits
What can a judge do to limit the risk to
the community when the judge places a
sex offender on probation?
Slide 43
Lecture (1 minute):
These are all tools we have discussed,
both in terms of the initial grant of
probation and in responses to violations
of probation.
Responses to Limit Risk
•
•
•
•
•
Limiting access to victims
Electronic monitoring or curfews
No contact orders
Restrictions on movement
Increased monitoring, contact,
treatment
• Pre-revocation contracts
• Admissions to violations
Slide 44
(1-2 minutes):
In other words, what are the “red flags”
that would trigger a lengthy period of
custody in jail, or a complete
termination of probation and placement
in state prison?
Immediate Removal
Assuming you place a defendant on
probation, what conditions of probation
would you impose which would require
his/her immediate removal?
Slide 45
minutes):
Here are some of the big ones. Can
you think of others?
Situations Requiring
Immediate Removal of Offender
• Possession of dangerous weapon
• Contact with children initiated by
offender and not reported
• Substance abuse that is part of
offense cycle
• Offender physically harms another
person
200
Case studies provide an excellent
means of applying what has been
learned, and discussing issues in
sentencing sex offenders. The case
studies are derived from actual cases.
Slide 46
CASE STUDIES
Note to Presenter:
The following five slides contain a
synopsis of information from the PreSentence Investigation Report and
Psychosexual Exam, including the
demographics, current offense
information, criminal history, and
additional background information for
John A. Doe. These five slides do not
contain speaker’s notes. Following
these five synopsis slides is a
sentencing slide (Slide 53) which
contains speaker’s notes, including
suggested issues and questions to
raise, and the actual sentence
imposed.
Slide 47
John A. Doe
We recommend you discuss the
synopsis slides along with any other
details from the full reports that are
particularly relevant in your jurisdiction.
The Pre-Sentence Investigation Report,
including a synopsis, and the
Psychosexual Exam are in Module
Four and in hand-out form in the
Resource Center on the CD. The
Resource Center also contains a standalone synopsis of all the case studies.
201
Slide 48
John A. Doe
Demographics
• 37-year-old male.
• Currently married (nearly 10 years), 2
children.
• Well-educated, obtained Master’s in
Business Administration.
• Stable employment – works in software
development.
• Stable home, stable finances.
Slide 49
John A. Doe
Current Offense
• Indicted on two counts of Importuning
(Internet solicitation) and Attempted
Unlawful Sexual Conduct with a Minor.
– Believed the person was a 14-year-old
minor female.
– Sexually explicit communications over
two months’ time.
– Apprehended after driving to agreedupon meeting place.
Slide 50
John A. Doe
Current Offense (cont.)
– Acknowledged having thoughts about
having sexual contact, but claims to
have changed mind.
– Currently in counseling.
– Pled guilty to two counts of Importuning.
– Statutory penalties:
• Importuning: 6-12 months of
incarceration and/or up to $2500 fine.
Slide 51
John A. Doe
• Stable home during childhood.
• No history of maltreatment.
• No mental health, health, or
substance abuse difficulties.
202
Slide 52
John A. Doe
Criminal History
At age 17, fined for disorderly conduct.
Slide 53
minutes):
John A. Doe’s Static-99 score was
within the “low-to- medium” range.
John A. Doe
Sentence
How would you sentence John A. Doe,
and what conditions would you
impose?
John A. Doe’s actual sentence was five
years of community control (probation);
one year of intensive supervision
followed by 4 years of basic
supervision; designation as a Tier I
Offender; court costs and a $2,500 fine;
400 hours of community service; 90
days of house arrest; drug/alcohol
monitoring; and sex offender treatment.
(Ask the participants whether they
agree or disagree with the sentence
and engage them in a discussion as to
specific points of
agreement/disagreement.)
203
Note to Presenter:
The following five slides contain a
information, criminal history and
John B. Doe. These five slides do not
these five synopsis slides is a
imposed.
Slide 54
John B. Doe
Slide 55
John B. Doe
Demographics
• 75-year-old male
• Currently married, nearly 50 years; 3
children.
• Retired (long-term, stable employment
in paper company).
• Stable residence, finances.
• Health problems (triple bypass, high
cholesterol, emphysema).
Slide 56
John B. Doe
Current Offense
• Indicted on two counts each of Rape,
Gross Sexual Imposition.
– Victims were two granddaughters, ages
4 and 8, when offending began.
– Occurred over a 2-year time period,
multiple instances of having victims
fondling and performing fellatio on him.
– Blames victims, indicates victims
initiated and desired the contact.
204
Slide 57
John B. Doe
– Denies harm to victims, no
evidence of remorse.
– Pled guilty as charged.
• Rape: 3-10 years/$20,000 fine.
• Gross Sexual Imposition: 1-5
years/$10,000 fine.
Slide 58
John B. Doe
Criminal History
No prior record.
Slide 59
John B. Doe
• Quit school during 8th grade, later
obtained GED.
• Two years of military service, honorable
discharge.
• No mental health or substance abuse
difficulties.
205
Slide 60
minutes):
John B. Doe pled guilty as charged to
all four counts. He is automatically a
Tier III offender. His actual sentence
was four concurrent five-year
sentences in prison and five years of
parole. As part of a pre-sentence
investigation, the court ordered and
received a Psychosexual Exam
prepared by a clinical psychologist.
John B. Doe
Sentence
How would you sentence John B. Doe,
impose?
•
•
•
•
•
•
•
•
206
Do you agree with the
sentence?
Most states require that the
court “consider” victim impact
statements in determining
sentence. In a practical sense,
what does this mean?
What happens if the victim is a
minor or deceased and more
than one person wishes to
speak for the victim?
If the victim is a juvenile, does
the juvenile victim still have a
right to speak?
Does or should a victim have a
right to consent or participate in
plea bargaining?
If a victim makes an impact
statement, is that statement
subject to disclosure, or
disclosure in camera, to the
defendant and his attorney?
Can the court limit what is
included in a victim impact
statement or what is said in
open court?
In John B. Doe’s case, you have
multiple victims. The mother of
the first victim wants the
maximum sentence imposed;
the mother of the second victim
wants the defendant to be
treated with compassion. What
consideration do you give to the
wishes of the parents of the
young children and, if you give
consideration to their wishes,
how do you weigh seemingly
opposite views?
Note to Presenter:
The following six slides contain a
information, criminal history, additional
background information and trial details
for John C. Doe. These six slides do
not contain speaker’s notes. Following
these six synopsis slides is a
raise and the actual sentence imposed.
Slide 61
John C. Doe
Slide 62
John C. Doe
Demographics
•
•
•
•
19-year-old male.
Single, no current relationship.
Resides with parents.
Was employed in construction;
currently in jail.
• No independent finances.
Slide 63
John C. Doe
Current Offense
• Indicted on one count each of Sexual
Battery and Tampering with Evidence.
– 16-year-old female victim.
– Involved a co-defendant.
– Victim was intoxicated and passed out
at party; defendant subjected victim to
non-consensual oral copulation and
digital penetration; disposed of
(burned) victims’ underwear afterward.
207
Slide 64
John C. Doe
– Offender was using alcohol and
marijuana at the time of the offense.
– Admits to behaviors, some evidence of
remorse.
– Pled guilty as charged.
– Statutory penalty:
• Sexual Battery: 1-5 years/$10,000 fine.
• Tampering with Evidence: 1-5
years/$10,000 fine.
Slide 65
John C. Doe
Criminal History (Juvenile)
•
•
•
•
Petty theft.
Driving without a license.
Drug paraphernalia.
Violation of court order (failed drug
test, refused to participate in drug
treatment).
• Traffic violations.
Slide 66
John C. Doe
• Quit school during 11th grade, later
obtained GED.
• History of alcohol, marijuana
use/abuse.
• No mental health, health difficulties.
Slide 67
John C. Doe
Trial
• Case proceeds to jury trial.
• Defendant is found guilty as charged
of both counts.
• Maximum sentence is eight years in
prison.
208
Slide 68
minutes):
Query the participants on the following
issues and any others relevant to the
discussion and your jurisdiction:
John C. Doe
Sentence
How would you sentence John C. Doe,
impose?
•
•
•
•
•
•
John C. Doe was placed on
probation as a juvenile. While
on probation, he continually
tested positive for drugs but
refused treatment, saying he
had no substance abuse issues.
Assuming you place the
defendant on probation, what
conditions do you impose?
Are there any conditions, if he is
alleged to have violated, which
would require his immediate
arrest?
What about the victim? She is a
minor – do you let her speak for
herself?
Do you let her parents speak on
her behalf?
What if she asks that her
parents not be permitted to
speak on her behalf?
As part of the pre-sentence
investigation, a Static-99 was
performed by a forensic
psychologist. The forensic
evaluation put John C. Doe in
the low-to-moderate risk of reoffending. Based on the facts of
the case, do you consider this to
be a reliable assessment? Was
the forensic evaluation helpful?
John C. Doe’s actual sentence was two
concurrent four-year sentences to
prison; five years of parole; and
designation as a Tier III offender. Do
you agree with the sentence?
209
There is little research or literature
available on the subject of treatment
and sentencing of female sex
offenders. There are no evidencebased guidelines or practices on the
most effective way to sentence or treat
female sex offenders.
Slide 69
Female Sex Offenders
• Less than 10% of reported sex
offenses involve a female perpetrator.
• Only 1% of all arrests for forcible rape
involve a female perpetrator.
• Females represent about 6% of all
adult arrests for other sex offenses.
There are no assessments that may be
utilized to determine a female
offender’s risk for recidivism – risk
assessment tools for adult males
should not be used with female
offenders. No specialized assessment
tools for female sex offenders have
been developed and validated. Women
who commit sex offenses possess
several risk factors that differ from male
offenders.
What is known is that co-offending
women are more likely than solo
offenders to:
•
•
•
•
210
have multiple young victims;
victimize females;
target family members; and
have a history of non-sex
crimes.
Note to Presenter:
The following eight slides contain a
information, criminal history, additional
background information and any trial
details for Jane A. Doe. These eight
slides do not contain speaker’s notes.
Following these eight synopsis slides is
a sentencing slide (Slide 79) which
imposed.
Slide 70
Jane A. Doe
Slide 71
Jane A. Doe
Demographics
• 35-year-old female.
• In a relationship with a prison inmate
who is expected to be released this
year.
• Resides with mother and step-father.
• Has cosmetology license; worked as
bartender before current incarceration.
Slide 72
Jane A. Doe
Current Offense
• Indicted on two counts of Unlawful Sexual
Conduct with a Minor; found guilty on one
count.
– 15-year-old male victim.
– Shared a basement bedroom with victim
in which she had her own bed at victim’s
mother’s house.
– Doe and victim had frequent
sex/ongoing “relationship”.
211
Slide 73
Jane A. Doe
– Doe and victim were using alcohol
at time of offense.
– Admits to bad judgment and
consuming too much alcohol.
– Statutory penalty:
• 1-5 years; up to $10,000 fine.
Slide 74
Jane A. Doe
Criminal History
•
•
•
•
•
Runaway (juvenile).
Speeding (juvenile).
Operating a Vehicle Intoxicated.
Aggravated Menacing.
Obstructing Official Business (two
convictions).
• Domestic Violence.
Slide 75
Jane A. Doe
Criminal History (cont.)
• Disorderly Conduct (three convictions).
• Violation of Temporary Protection
Order.
• Operating a Vehicle Under the
Influence.
• Possession of a Drug Abuse
Instrument.
Slide 76
Jane A. Doe
• Unstable home during childhood.
• Two alcoholic parents.
• As a child, witnessed grandmother
shoot dead her alcoholic and abusive
grandfather.
• Was sexually assaulted by grandfather
and cousins, and abused by uncle as
child.
212
Slide 77
Jane A. Doe
• Quit high school during 12th grade;
obtained GED.
• History of alcohol, marijuana drug
use/abuse.
• History of psychiatric treatment.
Slide 78
Jane A. Doe
Trial
• Refused to plead to a lesser charge;
found guilty of Unlawful Sexual
Conduct with a Minor.
• At trial, defendant claimed she was
the actual victim of sexual assault by
named victim.
Slide 79
minutes):
Jane A. Doe
Sentence
How would you sentence Jane A. Doe,
impose?
•
•
•
What factors would you
consider in sentencing this
female offender?
Is there anything you would
want to know in the
Presentence Investigation
Report about her that differs
from a male offender?
Would a psychiatric evaluation
(in addition to the forensic
evaluation/report) be helpful?
Jane A. Doe’s actual sentence
following the jury trial was two years of
imprisonment; five years of parole;
designation as a Tier III offender
(sexual predator). Do you agree with
the sentence?
213
Note to Presenter:
The following six slides contain a
synopsis of information from the Presentence Investigation Report and
information, criminal history and
Jane B. Doe. These six slides do not
these six synopsis slides is a
raise and the actual sentence imposed.
Slide 80
Jane B. Doe
Slide 81
Jane B. Doe
Demographics
•
•
•
•
28-year-old female.
Single, no current relationship.
Will reside with sisters after release.
Was self-employed with cleaning
business; currently in jail.
Slide 82
Jane B. Doe
Current Offense
• Indicted on three counts of Unlawful
Sexual Conduct with a Minor and one
count of Obstructing Official Business.
– 15-year-old female victim.
– Ongoing unlawful sexual conduct.
– Supplied victim with alcohol and/or
pills.
– Admits to behaviors; is remorseful.
214
Slide 83
Jane B. Doe
– Pled guilty to two counts of
Unlawful Sexual Conduct with a
Minor.
• 1-5 years/$10,000 fine.
Slide 84
Jane B. Doe
Criminal History
• Runaway (juvenile)
• Assault
Slide 85
Jane B. Doe
• Unstable home during childhood.
• Mother’s stepfather and boyfriend
molested Jane; boyfriend was
convicted.
• Lived in juvenile facility, group home,
and foster homes.
• Mother has history of bipolar disease;
attempted suicide.
Slide 86
Jane B. Doe
(cont.)
• Quit school after 9th grade.
• History of alcohol, marijuana
use/abuse.
• No mental health, health difficulties.
215
Slide 87
minutes):
Jane B. Doe
Sentence
How would you sentence Jane B. Doe,
impose?
•
•
•
•
216
Defendant voluntarily pled guilty
to two counts of Unlawful
Sexual Conduct with a Minor.
Defendant is automatically
classified as a Tier II Offender.
You place the defendant on
probation for a period of 5 years
and one of the conditions is that
she have no contact with the
minor victim.
However, the 15-year-old victim
doesn’t want the defendant
punished. Since she is the
victim, but is a minor, how do
you handle that issue? Can the
victim’s parents or guardian
object to the victim making a
statement?
How would you handle a
probation violation if the
evidence is that the victim, who
is now 18, and the defendant
are engaged in consensual
relationship? Would you feel
differently if the defendant was a
male and the victim were a
female?
Do you handle a sex offender’s
probation violations different
than a non sex offender? Would
you handle a probation violation
differently for a male and
female?
F.
MODULE SIX: EVIDENCE-BASED SENTENCING
The material contained in this module – like the other modules in this curriculum
– is designed to equip judges with the knowledge and tools necessary to reduce the
recidivism risk of adult sex offenders. Before going further, it is important to emphasize
the centrality of reduction of recidivism risk and acknowledge that there are many
purposes of sentencing – risk reduction being only one of these. But for purposes of
this module, specifically, and this curriculum, generally, we are not attempting to deal
with these other important issues of punishment, deterrence, fairness, etc. Instead,
our purpose here is to identify and understand what we know about how best to reduce
risk among the sex offender population so that when risk reduction is a goal, one will
know how best to achieve that goal.
Unlike other portions of this curriculum however, this module draws on a large
body of research on the general offender population (not just on the sex offender
population). This body of research is commonly referred to as the “evidence-based
practice” literature.
Approximate time: 50-90 minutes, depending upon the length of discussions
LEARNING OBJECTIVES
•
•
•
Describe the three principles of evidence-based practice and the key elements of
evidence-based sentencing;
Define the potential impact and benefit of these principles and supporting
practices on risk reduction among the general offender and the sex offender
population; and
Apply these principles to the adult sex offender population.
•
•
•
•
Large Group Activity
Lecture With Group Response
Small or Large Group Discussion
217
Slide 1
Evidence-Based Sentencing
Slide 2
The material contained in this module –
like the other modules in this curriculum
– is designed to equip judges with the
knowledge and tools necessary to
reduce the recidivism risk of adult sex
offenders. Before going further, it is
important to emphasize that point and
acknowledge that there are many
purposes of sentencing – risk reduction
being only one of these. But for
purposes of this module, specifically,
and this curriculum, generally, we are
not attempting to deal with these other
important issues of punishment,
deterrence, fairness, etc. Instead, our
purpose here is to identify and
understand what we know about how
best to reduce risk among the sex
offender population so that when risk
reduction is a goal, we know how best
to achieve that goal.
Learning Objectives
• Describe the three principles of evidencebased practice and the key elements of
evidence-based sentencing;
• Define the potential impact and benefit of
these principles and supporting practices
on risk reduction among the general
offender and the sex offender population;
and
• Apply these principles to the adult sex
offender population.
Unlike other portions of this curriculum,
however, this module draws on a large
body of research on the general
offender population (not just on the sex
offender population). This body of
research is commonly referred to as the
“evidence-based practice” literature.
This portion of the curriculum will
provide an overview of evidence-based
practice research and demonstrate the
relevance of this body of work to the
management of adult sex offenders.
Further, this module will introduce
judicial participants to a growing
practice in courts across the country
referred to as “evidence-based
sentencing,” and will identify steps
judicial officials can take to implement
evidence-based sentencing.
218
Slide 3
REFORM INTERESTS AND
APPLICATION TO SEX OFFENDERS
Slide 4
Concerns Among Felony Court
Judges and State Chief Justices
• Concerns of felony court judges
– High rates of recidivism among felony
offenders
– Ineffectiveness of traditional probation
and other sanctions in reducing
recidivism
– Lack of effective community
alternatives to incarceration
(Peters & Warren, 2006)
Slide 5
Concerns Among Felony Court Judges
and State Chief Justices (cont.)
• State chief justices’ top reform interests for the
state court
– Public safety through recidivism reduction
efforts

Implementation of evidence-based
practices and services

Use of empirically-based risk and needs
assessment tools
• Direct application to adult sex offenders
(Peters & Warren, 2006)
Lecture (1 minute):
A survey conducted by the National
Center for State Courts in early 2006
identified the most significant concerns
among state felony court judges as
high rates of recidivism among felony
offenders, the ineffectiveness of
traditional probation and other
sanctions in reducing recidivism and a
lack of effective community alternatives
to incarceration (Peters & Warren,
2006).
This same NCSC survey also identified
the state chief justices’ top reform
interests for the state courts as
enhancing public safety through
recidivism reduction efforts. In
particular, respondents indicated
interest in the implementation of
evidence-based practices and services
and the use of empirically-based risk
and needs assessment tools (Peters &
Warren, 2006).
minutes):
To what extent do these concerns
resonate with you? To what extent
have evidence-based practices
generally, and the use of empiricallybased risk and needs assessment tools
specifically, been implemented in your
jurisdiction? Who has taken the
leadership role in bringing these
practices to your state [e.g., Chief
Justice, probation officials, legislative
mandate, etc.]?
219
Slide 6
The Rationale for Applying EvidenceBased Practices to Offender
Management and Sentencing
• Offenders, in general, are failing at alarming rates
• 67% rearrested within three years following
release from prison
• 30% probationers are reconvicted of a new
crime
• Research over the past two decades
demonstrates that – through the use of evidencebased practices – recidivism can be reduced by as
much as 30%
(Hughes & Wilson, 2003; Andrews & Bonta, 1997)
According to the U.S. Department of
Justice, Bureau of Justice Statistics, 67
percent of individuals released from
prison are rearrested within three years
of discharge (Hughes & Wilson, 2003).
An estimated 30 percent of
probationers supervised in the
community are reconvicted for a new
crime (Hughes & Wilson, 2003). These
recidivism rates have remained
relatively stable for decades.
However, research over the past two
decades demonstrates that a 30
percent reduction in recidivism is
possible (see Andrews & Bonta, 1997)
if current knowledge – commonly
referred to as “evidence-based
practices” – is applied with fidelity.
Slide 7
KEY TERMS AND PRINCIPLES IN
EVIDENCE-BASED SENTENCING
Slide 8
Although these rates of failure are quite
disappointing, a body of literature has
emerged to demonstrate that significant
improvement is possible. This body of
literature is based upon meta-analyses,
a research methodology that
aggregates and synthesizes results
from multiple studies.
Defining Key Terms
• Evidence-Based Knowledge
– Conclusions drawn from studies that
have been replicated numerous times
with defined, measurable outcomes
about the effectiveness of an
intervention or process
• Evidence-Based Practice
– The application of empirical research
to professional practice
Important meta-analyses regarding
criminal offenders have been
conducted over the past three decades.
In earlier years these findings were
referred to as “what works” in
correctional practice; today, this same
body of literature is referred to as
“evidence-based practice.”
(Before going further, review the
definitions on this slide with the
participants.)
220
Slide 9
Lecture (cont.) (1 minute):
Three “principles” have emerged from
this research. We’ll be reviewing these
shortly. These are commonly referred
to as the “principles of evidence-based
practice” or “evidence-based
principles.”
Defining Key Terms (cont.)
• Evidence-Based Principles
– The three “principles” of evidencebased practice that have been
derived from the research on risk
reduction
• Evidence-Based Sentencing
– The application of the principles of
evidence-based practice to
sentencing
Finally, we’ll be talking about the
application of this knowledge and these
principles to sentencing. For our
purposes, then, we’re defining
evidence-based sentencing as the
application of the principles of
evidence-based practice to sentencing.
Before we go further it’s important to
note one other key point: While the
body of research we’re describing in
this module – “evidence-based
practice” – is derived from studies of
the general offender population, this
body of knowledge also has direct
application to the adult sex offender
population for two reasons:
First, as has already been illustrated,
although the recidivism rate among
most adult sex offenders is low, those
offenders who do re-offend generally
do so through the commission of a nonsexual offense. Therefore, evidencebased practices can help us to
understand how to reduce the rate of
non-sexual re-offense among sex
offenders.
Second, although the body of research
upon which the evidence-based
principles rests was initially developed
with a general offender population, it
has since been validated with sex
offenders. Therefore, these principles
hold true for sex offenders as well.
In summary, the body of literature
referred to as evidence-based practices
offers guidance in reducing recidivism
among both general offenders and sex
offenders.
221
Slide 10
The three key principles of evidencebased practice are the “risk principle,”
the “needs principle,” and the
“responsivity principle.” (The slides that
follow will cover each of these
principles in greater depth.)
The Three Key Principles of
Evidence-Based Practice
The Risk
Principle
WHO to
target for
intervention
The Needs
Principle
WHAT to
target for
intervention
The
Responsivity
Principle
HOW to
target for
intervention
(Andrews & Bonta, 2007)
• The risk principle tells us who to
target for intervention.
• The needs principle tells us what
to target, with the individual
offender, for intervention.
• The responsivity principle tells us
how to target the intervention to
maximize the interventions’
potential.
Research demonstrates that aligning
level of intervention with the level of risk
produces the best outcomes (as
defined by the highest rate of risk
reduction).
Slide 11
The First Key Principle: Risk
• Aligning level of intervention with level
of risk to produce reduced recidivism
• Empirically based, actuarial
instruments assess the level of risk an
individual offender is likely to pose
• More intensive services for higher risk
and higher need offenders produce the
most significant reductions in
recidivism
Empirically based, actuarial instruments
enable professionals to assess the
level of risk an individual offender is
likely to pose.
While these instruments cannot
determine any one individuals’ risk level
with absolute certainty, they can – like
the actuarial tools used to determine
whether a 17 year old boy’s car
insurance should be higher than a 40
year old woman’s – identify the
outcome of large groups of individuals
with similar characteristics.
An important finding from empirical
research is this: More intensive
services for higher risk and higher need
offenders produces the most significant
reductions in recidivism.
222
Slide 12
Large Group Activity (1 minute):
The answer to this question is “A,” true.
The Risk Principle: Which is True?
A) Delivering moderate or high intensity
interventions to offenders who are at
low risk for recidivism can result in an
increase in the likelihood to re-offend.
Research demonstrates that delivering
intensive interventions to offenders who
are assessed to be at low risk for
recidivism is both impractical and illadvised.
B) Delivering moderate or high intensity
interventions to offenders who are at
low risk for recidivism can result in a
decrease in the likelihood to re-offend.
First, these individuals are at low risk to
re-offend already; scarce resources will
be under-utilized if applied to this
population. More importantly, research
demonstrates (Andrews & Bonta, 2007)
that providing more supervision or
service than is warranted can actually
increase the likelihood these individuals
will re-offend.
These research findings have several
important implications for sentencing.
They suggest, for example, that more
intensive resources be reserved for
higher risk offenders and, to the extent
possible, less invasive or intensive
interventions be employed with low risk
offenders.
There is an offender population
considered to be at “very high” risk (for
example, offenders who are
psychopathic or have other extreme
conditions). To date, effective
interventions that will reduce with
consistency the risk to re-offend among
this population have yet to be
established. Throughout this module
when we refer to “high risk,” we are not
including this “very high” risk
population.
223
Slide 13
You will recall that in the previous
module we discussed “dynamic risk
factors” – the conditions unique to sex
offenders that increase the likelihood of
sexual offense. A number of
empirically-based actuarial instruments
– like those that assess sex offender
specific dynamic risk factors – have
also been developed to assess
criminogenic needs. Criminogenic
needs are dynamic risk factors related
to non-sexual re-offense. Some of the
sex offender-specific dynamic risk
factors are actually quite similar to
criminogenic needs (such as prooffending attitudes), as you will see in a
moment.
The Second Key Principle: Needs
• Criminogenic needs (dynamic risk factors)
= changeable conditions in an offender’s
life that can lead to re-offense behavior
• Actuarial instruments have been
developed to assess these "criminogenic
needs”
• Targeting interventions to the unique
criminogenic needs of an individual
offender has significant risk reduction
potential
Criminogenic needs are critically
important because they (like sex
offender-specific dynamic risk factors)
are the changeable conditions in an
offenders’ life that can lead to reoffense behavior. These changeable
conditions are our targets for
intervention (such as treatment and
supervision).
Research shows when we effectively
target conditions that are likely to lead
to re-offense (dynamic risk factors),
recidivism reduction is the result. Thus,
these conditions are important in
sentencing decisions.
There are also a host of noncriminogenic needs (self-esteem is a
common one). When non-criminogenic
needs are addressed in treatment
(particularly in lieu of criminogenic
needs), research demonstrates that
rates of recidivism actually increase.
This is obviously important to know –
because we don’t want to contribute to
increases in recidivism – and
emphasizes the importance of focusing
on the “right” issues when attempting to
influence offender behavior.
224
As will be demonstrated shortly,
targeting interventions to the unique
criminogenic needs of an individual
offender has significant positive impact
on risk reduction. In other words,
offenders’ level of risk to re-offend goes
down when we focus on these
research-based risk factors.
Slide 14
There are eight primary criminogenic
needs. The research on offender
recidivism indicates that these
conditions are the most significant
contributors to re-offense.
Criminogenic Need Areas:
The “Big Four”
• Anti-social cognitions
• Anti-social companions
• Anti-social personality
(temperament)
• Family and/or marital difficulties
Actuarial instruments not only identify
which of the criminogenic needs are
present for an individual offender, but
also the degree to which they are each
present (with scores ranging from ‘very
low’ to ‘very high’).
Assessments often reveal that
offenders have multiple criminogenic
needs in the medium, high, or very high
categories (often 3, 4 or even 8
criminogenic needs will be present to a
significant degree). These high ranking
risk factors become the targets of
change.
Among those targets of change, priority
is given to criminogenic needs that are
present among the four listed on this
slide (anti-social cognitions, anti-social
companions, anti-social personality,
family and/or marital difficulties). These
are referred to as the “big four”
because they have the highest risk
reduction potential. As such, they are
the primary targets for intervention
when they are assessed to be present
to a significant degree.
225
Slide 15
Lecture (with Group Response) (1-2
minutes):
In addition to the “Big Four,” four
additional primary criminogenic needs
are noted on this slide. These are often
referred to as the “Lesser Four.” It is
not that these four needs are less
important, but that the “Big Four” are
the ones that create the greatest
difficulty. Too often though, we tend to
focus on the “Lesser Four” when
working with offenders, perhaps
because these are more
straightforward and easier to address.
But consider this: If an offender has an
entrenched anti-social personality,
associates with anti-social peers and
lacks pro-social relationships, what is
the most likely outcome if we were to
place him on a job? Chances are he
would get fired pretty quickly, right?
This simplifies but illustrates the point
that we need to address the major
contributors to anti-social behavior first,
so that our efforts to address the other
risk factors are even possible.
Criminogenic Need Areas:
The “Lesser Four”
• Substance abuse concerns
• Lack of education
• Lack of employment
• Lack of pro-social leisure activities
Slide 16
This slide reflects the impact of
targeting criminogenic needs (versus
non-criminogenic needs) on recidivism
rates. There are two significant points:
Recidivism Reductions as a Function of Targeting
Multiple Criminogenic vs. Non-Criminogenic Needs
Increased
recidivism
20%
0%
-20%
-40%
Decreased
recidivism
•
The right-hand portion of the
slide (scores 0 to -3, moving to
the right) demonstrates
recidivism outcomes when noncriminogenic needs are
targeted. It reflects research
findings that indicate that the
higher the number of noncriminogenic needs targeted,
the poorer the outcomes are.
•
The left-hand portion of the slide
(scores 0 to 6, moving to the
left) demonstrates the opposite
finding. Research reveals an
increasingly positive impact
(reduced recidivism) when
greater numbers of criminogenic
needs are targeted.
-60%
6
More Criminogenic
than Non-Criminogenic
Needs
5
4
3
2
(Hanson et al., 2009)
1
0
-1
-2
-3
More Non-Criminogenic
than Criminogenic
Needs
The salient point is this: The higher the
number of criminogenic needs targeted,
the higher the improvement rate (less
recidivism) among offenders.
226
Slide 17
Unlike general offenders, sex offenders
also possess a unique set of risk
factors. These risk factors are stable
dynamic risk factors and acute dynamic
risk factors.
Sex Offender-Specific Dynamic
Risk Factors
Sexual preoccupations
Access to victims
Intimacy deficits,
conflicts in relationships
Hostility
Non-compliance with
supervision, treatment
You might notice that some of these
sex offender-specific dynamic risk
factors also appear on the list of
criminogenic needs, such as antisocial
peers.
For the purposes of this module of the
curriculum, we will focus on stable
dynamic risk factors. These are
conditions that change slowly over
time. Sex-offense specific treatment
plans should specifically focus on each
individual offender’s stable dynamic risk
factors.
Some of the primary sex offenderspecific, stable dynamic risk factors are
noted on this slide.
Slide 18
Research demonstrates that treatment
and supervision have the greatest
impact when they are tailored to the
individual’s “responsivity” factors. The
primary responsivity factors are noted
on this slide.
The Third Key Principle:
Responsivity
• Treatment and supervision are most effective
when tailored to responsivity factors
• Primary responsivity factors
– Cognitive/intellectual functioning
– Culture
– Gender
– Learning style
– Level of motivation
– Mental health condition
227
minutes):
A helpful way to assist participants in
understanding responsivity factors is to
provide a few examples. The
presenters may ask participants: “How
many of you would advise putting a low
functioning sex offender in a treatment
group with high functioning offenders?
What might happen in this situation?”
“How many of you think it would be
therapeutically wise to place a female
sex offender in a treatment group with
male rapists?” The presenter could go
on to explain that these are two
examples of being “responsive” to
individual offenders. Another is
recognizing that individuals have
diverse cultural backgrounds and
therefore matching service providers on
this basis can be helpful
therapeutically. If time permits, the
presenters could query participants for
other examples.
Slide 19
Responsivity has three key elements
(as depicted on this slide). Each is
important to improved outcomes with
offenders.
The Three Components
of Responsivity
Program
Components
Traits of
Service
Providers
The first element is understanding each
offender’s character traits (“responsivity
factors”) (level of motivation,
functioning level, etc.).
Offender
Characteristics
The second is the traits of the individual
working with the offender. Research
tells us that the style of the professional
and the match between offender and
practitioner matters in terms of
outcome.
A final responsivity concern is the
match between program components
and offenders. For example, it might
not be advisable to place an offender
who is low functioning in a program that
relies heavily on scheduled written
work, such as journaling.
228
Slide 20
Lecture and Large Group Activity (35 minutes):
Motivational interviewing engages the
offender in his/her plan for change. Just
to simplify and illustrate what is meant
by this, tell me this: Let’s say you go to
the doctor and, after a blood pressure
check and weigh-in, your doctor
concludes you must lose 40 pounds,
and immediately. What could the doctor
do to make you more – and less –
responsive to this advice? Chances
are you would be more receptive to a
doctor – and to losing weight – if the
doctor would help you understand the
facts (i.e., what the blood pressure
results mean and what the data
indicate about increased chances of
heart attack at your age with an
additional 40 pounds of weight on your
body). Chances are you would also be
more receptive to engaging in a weight
loss plan if the doctor helps you
determine for yourself that losing
weight would be a good thing. What if
the doctor ridiculed you, or handed you
an exercise and diet regime and
demanded that you follow it? Would
you be more or less likely to be
successful in a weight loss program in
this case?
Motivational Interviewing as a Key
Behavioral Change Tool
• Motivational interviewing engages
the offender in his/her plan for
change
• Motivational interviewing is skillbased
– The application of specific
techniques is critical to its success
This begins to illustrate some of the
keys to motivational interviewing. It is
about helping offenders explore the
conditions that are problematic, make
their own value judgments about
change (as opposed to imposing our
value judgments on them), and most
importantly, engaging them in the
process of developing an action plan
for change, as opposed to telling them
our solution to their problem (much as
the doctor might ask you what exercise
you enjoy the most, or best fits with
your lifestyle, as opposed to demanding
that you begin jogging three miles a
day).
229
A mistake that is commonly made is to
assume that it is only the clinical
professionals who need to possess
skills in effective interaction and
communication techniques such as
motivational interviewing. In fact, it is
appropriate for all professionals
working with offenders to have and to
use motivational interviewing skills and
techniques.
Slide 21
However, professionals must be trained
in this technique, and these skills must
be developed. Furthermore, in order for
motivational interviewing to be
successful, the techniques must be
employed with integrity.
Motivational Interviewing as a Key
Behavioral Change Tool (cont.)
• All professionals should be skilled in
motivational interviewing
– Judges are increasingly using
motivational interviewing
Judges are increasingly using
motivational interviewing to encourage
positive action, compliance, and
behavior change (e.g., using
motivational interviewing techniques on
the bench when interacting with
offenders, supporting the efforts of
others – such as supervision officers –
to receive training in and apply these
techniques, etc.).
minutes):
If time permits, the presenter might ask
judicial training participants if any have
been exposed to motivational
interviewing techniques, and what their
experiences with this communication
skill has been.
We began this discussion by talking
about responsivity factors. Level of
motivation is one of the responsivity
factors we need to take into account.
Let’s see what the research tells us
happens when we address the risk,
need and responsivity factors we’ve
just discussed, effectively.
230
Slide 22
Risk reduction is a key, although not
the exclusive, consideration in judicial
decision-making. Research clearly
demonstrates that the appropriate
application of each of these principles
can positively impact recidivism.
Impact of Adhering to the Core Principles of Effective
Correctional Intervention: Risk, Needs and Responsivity
Increased
recidivism
10%
0%
-10%
-20%
Decreased
recidivism
-30%
Adhere to all 3 principles
Adhere to 1 principle
Adhere to 2 principles
Adhere to none
(Andrews et al., 1999)
A lack of adherence to all three
principles has been demonstrated to
have an inverse effect on recidivism. In
other words, when these three
principles are not taken into account,
offenders recidivate at higher rates.
On the other hand, the application of all
three principles – in sanctioning and in
ongoing behavior management
practices – has been demonstrated to
reduce recidivism among adult criminal
offenders by up to 30 percent (Andrews
& Bonta, 1997).
*Meta-analysis of 230 studies
231
Slide 23
Other Research Findings Identifying
Interventions and Strategies
that “Work” with Offenders
• Cognitive-behavioral interventions
• Positive reinforcement
• Balanced approach to supervision
(Andrews & Bonta, 2007; Aos et al., 2006)
(3-5 minutes):
In addition to helping us to understand
the principles that underlie risk
reduction, the research also tells us
about the specific practices we employ
that are effective in reducing recidivism.
These include the use of cognitivebehavioral interventions, the use of
positive reinforcement and a balanced
approach to supervision.
Cognitive-based interventions:
Research demonstrates that treatment
approaches that address offenders’
thinking patterns while at the same time
focusing on practicing skills that
support new behavior are the most
effective.
The use of more positive reinforcement:
Under what circumstances are you
more likely to repeat a behavior? If your
partner or spouse criticizes you every
time you do something wrong, how do
you respond? Oftentimes when we are
criticized repeatedly, we just stop
trying. We might think, “Why even
bother?” On the other hand, what
happens when you are frequently
praised? I bet that most of us respond
to praise in a similar way: it not only
connects us to the person offering it, it
also encourages us to repeat the
behavior again. What the research tells
us about this is that offenders need four
positive reinforcements before a
negative reinforcement will “take.” This
is an interesting research finding, to be
sure.
Balanced supervision approach: In a
balanced approach to supervision,
community supervision officers strive to
establish rapport with clients and
understand their criminogenic need
areas as well as their assets. In this
model of supervision, community
supervision officers also work
collaboratively with offenders to
establish strategies for change; monitor
and reward progress; and take
corrective, problem-solving (rather than
strictly punitive) action for failure or lack
of progress.
232
Slide 24
RELEVANCE OF RESEARCH TO
SEX OFFENDERS
Slide 25
Research Findings Identifying Treatment and
Supervision Strategies that Generally Don’t
“Work” with Offenders
• Surveillance models of supervision
• Longer sentences over shorter sentences
• Punishment-oriented sanctions
(Aos et al., 2006)
Research tells us more than “what
works” with offenders. As importantly,
research demonstrates what does not
work with offenders, when risk
reduction is the goal. Again, we are
emphasizing in this curriculum the
research around risk reduction. By
doing so, we do not intend to diminish
the other purposes of sentencing and
sanctioning such as deterrence and
punishment. Some of the strategies
that we are about to touch upon may
well meet some of those other criminal
justice purposes. But it is important to
know which strategies impact risk
reduction and not to be misled by
believing that all strategies will result in
risk reduction.
For example, research demonstrates
that supervision models that emphasize
monitoring and accountability, without
strategies that address criminogenic
needs, do not produce positive
outcomes. Research also indicates that
longer versus shorter – absent
strategies that address criminogenic
needs – does not reduce recidivism.
And similarly, punishment-oriented
sanctions that focus only on
sanctioning and monitoring and do not
address the changeable risk factors,
discussed previously, do not produce
better outcomes with offenders.
233
Slide 26
Where once it was believed that sex
offenders “specialized” in one type of
and confined their offending to sex
crimes, we now know that this is not the
case. Sex offenders engage in all types
of sexual deviance and in other forms
of criminal behavior as well. For this
reason, this body of evidence-based
practice literature is particularly relevant
to reducing the risk of general
recidivism among the adult sex
offender population.
Relevance of These Findings
to Sex Offenders
• Sex offenders are not “just” sex offenders
• Risk/needs/responsivity studies replicated
with sex offenders
It is also noteworthy that in recent
years, the risk/needs/responsivity
research was validated on a large data
set containing only sex offenders
(Hanson et al., in press). The findings
proved to be equally valid.
This slide summarizes many of the
preceding points: Risk reduction is best
achieved when justice system
professionals – whether sentencing,
supervising, or treating the adult sex
offender – apply both evidence-based
practices and sex offender-specific
strategies. Sex offender-specific
strategies are discussed in Module
Five.
Slide 27
Reducing Risk Among the Adult
Sex Offender Population
EvidenceBased
Practices
Slide 28
Sex OffenderSpecific
Interventions
Risk
Reduction
Lecture (1 minute or less):
At the beginning of this module we
defined “evidence-based sentencing.”
Let’s revisit that for a moment.
Reminder: Definition of
Evidence-based sentencing is the
application of the principles of
evidence-based practice to
sentencing.
Evidence-based sentencing is a
relatively new term. It is the integration
of the key principles of evidence-based
practice (risk, need, responsivity) into
judicial practice with judicial practice.
Note: The presenter may want to
familiarize himself/herself with the
model curriculum created by the
National Center for State Courts, The
National Judicial College, the Crime
and Justice Institute with funding from
the Pew Charitable Trusts, and the
State Justice Institute. The curriculum
is available at:
http://www.ncsconline.org/csi/education
.html.
234
Slide 29
FIVE TENETS OF EVIDENCE-BASED
SENTENCING
Slide 30
Lecture (1 minute or less):
There are several important steps
judges can take to support the
integration of evidence-based practices
with judicial practice. These include the
following:
Five Tenets of
#1: Expect professionals to provide
thorough, complete, and accurate
information about offenders so that
informed decision-making is
possible.
• Regarding Tenets #1 and 2:
Judges should expect
professionals to collect and
provide information that is
essential to understanding the
level of risk (general and sex
offender-specific) and the risk
factors (both dynamic risk factors
correlated with sexual reoffense
and criminogenic needs/risk
factors correlated to general
recidivism) of each offender
coming before the court.
(Tenet 2 is on the following
slide.)
Slide 31
Five Tenets of Evidence-Based
Sentencing (cont.)
#2: On an individual case basis, obtain and
apply comprehensive offender
assessment data
– Level of risk to re-offend sexually
– Level of risk to re-offend non-sexually
– Sex offender-specific dynamic risk
factors
– Criminogenic needs
235
Slide 32
Sentencing (cont.)
• Regarding Tenet #3: When risk
reduction is one of our goals in
responding to sex offender cases,
judges should ensure that their
sentencing decisions –
particularly those that relate to
participation in treatment, or
conditions of supervision – are
rooted in the research on risk
reduction. This will necessitate a
familiarity with the research as we
have discussed it here; a review
of each sex offender’s sex
offender-specific dynamic risk
factors as well as his/her
criminogenic needs; and
“matching” risk factors to
appropriate interventions. Judges
are encouraged not to set
conditions that are unwarranted
and unnecessary, providing
offenders and those tasked with
managing them with the
opportunity to instead concentrate
their efforts on those activities that
hold promise for reducing risk to
re-offend.
#3: When crafting sentences for the
purpose of risk reduction, match
interventions to empirically assessed,
changeable risk factors
–Sex offender-specific dynamic risk
factors, as well as
–Criminogenic needs
236
Slide 33
• Regarding Tenet #4: Judges are
encouraged to develop skills (if
they have not already) in
motivational interviewing.
Experience demonstrates that
motivational interviewing is an
effective behavior management
tool. Recent experience in
courtrooms across the country
suggests that judicial officials can
offer powerful influence over
offenders’ behavior when this
technique is applied during
sentencing.
Sentencing (cont.)
#4: Use motivational interviewing as a tool
to encourage behavioral change among
offenders.
#5: Encourage and support the use of
evidence-based policies and practices
by all justice practitioners and service
providers.
Many judges will not see a value
to motivational interviewing in
their role; however, this is an
area that needs to be explored. It
can be employed when, for
instance, a judge asks questions
when accepting/taking a plea
and, during sentencing, when
advising a defendant of
conditions being imposed. There
is an opportunity to go beyond
whether the defendant
understands/waives his or her
rights, etc. Through this method,
the judge can set the stage for
what later occurs in
supervision/treatment – the judge
can potentially affect the
defendant’s participation.
• Regarding Tenet #5: Public
safety is enhanced when justice
system professionals employ
policies and practices that have
been demonstrated to reduce the
risk of re-offense among both
general offenders and sex
offenders. Judges are powerful
influences over policy and
practice. Developing a thorough
understanding of evidence-based
practice, adopting evidencebased sentencing practices, and
promoting both among
professional colleagues within
and outside of the judiciary is
encouraged.
237
Small or Large Group Discussion (510 minutes):
Depending upon the composition of the
audience, this discussion can be done
in small groups or as one large group.
(The presenter should ask participants
to review the list of 5 Tenets of
Evidence-Based Sentencing and
develop an action plan to improve
judicial practice in one of these areas.
The presenter should ask each group
report back on one component of their
action plan.)
238
G.
MODULE SEVEN: Sex Offender Registration and Notification Act
This module was prepared by the Office of Sex Offender Sentencing, Monitoring,
Apprehending, Registering, and Tracking (SMART) of the U.S. Department of Justice.
The SMART Office provides jurisdictions with guidance regarding implementation of the
Adam Walsh Act and provides technical assistance to the states, territories, Indian
tribes, local governments, and public and private organizations. SMART also tracks
legislation and legal developments related to sex offenders; they administer grant
programs related to the registration, notification, tracking, and monitoring of sex
offenders. This module describes these responsibilities and summarizes the Sex
Offender Registration and Notification Act (SORNA).
Approximate Time for Module: 15 minutes
LEARNING OBJECTIVES
•
•
•
•
•
Describe basic requirements of SORNA;
Identify timelines for implementation by states;
Understand consequences for failure of states to implement;
Understand responsibilities of SMART Office and assistance available to states;
and
Articulate pending cases interpreting SORNA.
239
Slide 1
Please see the Resource Center on the
CD, for an outline (“Sex Offender
Registration and Notification Act: An
Outline of Key Components”) that
accompanies this presentation.
U.S. Department of Justice
Office of Justice Programs
SMART Office
Sex Offender Registration
and Notification Act
(SORNA)
SMART OFFICE
Department of Justice
Innovation • Partnerships • Safe Neighborhoods
Slide 2
(Review the learning objectives for this
participants will be able to . . .”).)
SMART Office
Learning Objectives
• Describe basic requirements of SORNA;
• Identify timelines for implementation by
states;
• Understand consequences for failure of
states to implement;
• Understand responsibilities of SMART Office
and assistance available to states; and
• Articulate pending cases interpreting
SORNA.
Slide 3
SMART Office
The Adam Walsh Child Protection
and Safety Act of 2006
Title I: Sex Offender Registration
and Notification Act (SORNA)
Purpose: To establish a comprehensive set of minimum
standards for sex offender registration and notification
and to facilitate information sharing between jurisdictions
regarding sex offenders.
Slide 4
SMART Office
SORNA
New Requirements
Tribal Registration Jurisdictions
Juvenile Registration
Tiering/Offense-based
Mandatory Penalty for Failure to Implement
Additional Registration Requirements
New Federal Criminal Offense for Failure to Register
Established the Office of Sex Offender Sentencing,
Monitoring, Apprehending, Registering and Tracking
(SMART)
240
Slide 5
SMART Office
Significant Changes in SORNA
• Offender must register where
–
–
–
–
Originally convicted
Resides
Employed
Attends School
Slide 6
SMART Office
Three Tiers of Sex Offenders
• Tier I:
Lowest Level. Catch-all covering all
convictions for a “sex offense” not covered in
Tiers II or III.
• Tier II: Mid-Level
• Tier III: Highest-Level
42 USC 16911
Slide 7
SMART Office
Duration of Requirement
§ 16915. Duration of registration requirement
(a) Full registration period. . . .The full registration
period is(1) 15 years, if the offender is a Tier I sex
offender;
(2) 25 years, if the offender is a Tier II sex
offender; and
(3) the life of the offender, if the offender is a
Tier III sex offender.
Slide 8
SMART Office
Reduction in Registration
Requirement
• For a Tier I sex offender with a clean
record for 10 years
– Reduction is from 15 years to 10 years
• For a Tier III juvenile adjucated delinquent
with a clean record for 25 years
– Reduction is from life to 25 years
241
Slide 9
SMART Office
In-Person Verification
§ 16916. Periodic in-person verification
A sex offender shall appear in person, allow the
jurisdiction to take a current photograph, and verify
the information in each registry in which that offender
is required to be registered not less frequently than –
(1) each year, if the offender is a Tier I sex
offender;
(2) every 6 months, if the offender is a Tier II sex
offender; and
(3) every 3 months, if the offender is a Tier III sex
offender.
Slide 10
SMART Office
Required Information – to Collect
•
•
•
•
•
•
•
•
•
•
Criminal History
Date of Birth
DNA Sample
Driver’s License or
Identification Card
Employer Address
Fingerprints
Internet Identifiers
Name
Palm Prints
Passport and Immigration
Documents
•
•
•
•
•
•
•
•
•
•
Phone Numbers
Photograph
Physical Description
Professional Licensing
Information
Resident Address
School Address
Social Security Number
Temporary Lodging
Information
Text of Registration
Offense
Vehicle Information
Slide 11
SMART Office
Public Website Required Information
•
•
•
•
•
•
•
•
Current Offense & Prior Sex Offenses
Employer address
Name
Photograph
Physical description
Resident Address
School address
Vehicle(s) license plate number and description
Slide 12
SMART Office
Mandatory Exemptions from
Public Website
•
•
•
•
•
Victim’s identity
SS# of offender
Arrests that did not result in conviction
Passport and immigration identifiers
Internet identifiers (KIDS Act)
242
Slide 13
SMART Office
Immediate Transmission of
Information
• When an offender
– Registers
– Updates their registration
– Indicates an intention to relocate
• Jurisdictions must immediately notify any other
registration jurisdiction where that offender
– Is required to register
– Will be required to register
Slide 14
SMART Office
Retroactivity – Regulation
• Attorney General regulation dated February 2007
(28 CFR Part 72) confirmed the retroactive
applicability of the SORNA requirements to all sex
offenders, regardless of when they were
convicted.
Slide 15
SMART Office
Retroactivity – Guidelines
• The Guidelines clarified that a jurisdiction will
conform with SORNA if it brings the following
offenders into compliance:
– Incarcerated or under supervision
– Already registered or subject to pre-existing sex
offender registration requirements
– Hereafter reenter the jurisdiction’s justice system
because of conviction for some other crime
Slide 16
SMART Office
Juveniles
• SORNA will require registration for juveniles at least
14 years old at the time of the offense who are
adjudicated delinquent for committing (or attempting
or conspiring to commit) offenses under laws that
cover:
– Engaging in a sexual act with another by force or the threat
of serious violence (see 18 U.S.C. 2241(a)); or
– Engaging in a sexual act with another by rendering
unconscious or involuntarily drugging the victim
• “Sexual act” for this purpose should be understood to
include any degree of genital or anal penetration, and any
oral-genital or oral-anal contact.
243
Slide 17
SMART Office
SORNA/SMART Office Timeline
SMART Office Opened:
Dec. 2006
Attorney General Regulation:
Feb. 2007
Final Guidelines:
June 2008
First Implementation Deadline:
July 2009
AG issued one-year blanket extension:
May 2009
First two jurisdictions implement SORNA:
Sept. 2009
Ohio
Confederated Tribes of the Umatilla Reservation
Second Implementation Deadline:
July 2010
Final Implementation Deadline:
July 2011
Slide 18
SMART Office
Consequences:
Failure to Implement
• 10% annual reduction in Byrne Justice Assistance
Grant funds
• Only the 60% state level money will be reduced
• For tribes: If the AG determines that the tribe has
not substantially implemented the requirements of
SORNA and is not likely to become capable of
doing so within a reasonable amount of time,
function delegated to the state.
Slide 19
SMART Office
Assisting Jurisdictions with
SORNA Implementation
253 Registration Jurisdictions
50 states
5 territories
District of Columbia
197 tribes
SMART Office is authorized to
•
•
•
•
administer standards set forth in SORNA
administer grant programs
provide technical assistance
perform other functions delegated by the Attorney
General
244
Slide 20
The Campus Sex Crimes Prevention
Act amended Wetterling and federal
education laws in 2000 to ensure
availability to campus communities of
information concerning the presence of
sex offenders.
SMART Office
Assisting Jurisdictions with
SORNA Implementation
Technical Assistance
Training Presentations
Outreach to Jurisdictions
Indian Country Tools: Tribe & Territory Sex Offender Registry
System (TTSORS), Model Code
Software Tools: Portal, Sex Offender Registry Tool (SORT)
Technical Working Group
Implementation Checklist
GetSMART
SORNA Case Law Update
FAQ’s, Fact Sheets, SMARTWatch
PROTECT Act amendments in 2003
added child pornography production
and distribution to the list of registration
offenses and required community
notification include maintenance of
publicly accessible sex offender web
sites in all jurisdictions.
Beyond these legislative reforms, in
2005 the Department of Justice
established, through administrative
action, a national sex offender website,
known as NSOPR, whose purpose is to
provide convenient public access to
information in various state sex
offender web sites through single-query
searches.
Slide 21
SMART Office
Grants
Adam Walsh Act Implementation (AWA)
2007 – $11.8M
2008 – $ 3.9M
2009 – $ 4.7M
National Sex Offender Public Website
(NSOPW)
2007-2009 - $8.78M
Slide 22
SMART Office
Federal Sex Offender
“Registries”
• NSOPW
– National Sex Offender Public Website
– www.nsopw.gov
– SMART Office
• NSOR
– National Sex Offender Registry
– FBI/NCIC Folder
245
Slide 23
SMART Office
Residency Restrictions & GPS
• SORNA does not address these
• Most studies do not advocate for
residency restrictions
• GPS has various issues in
implementation and efficacy
Slide 24
SMART Office
International Working Group
•
•
•
•
•
Entering and leaving the U.S.
State Department
DHS
Department of Defense
USMS – Sex Offender Targeting Center
Slide 25
SMART Office
Two Tracks of Litigation
• 18 U.S.C. § 2250
• State litigation
Slide 26
SMART Office
18 USC § 2250
•
•
•
•
Commerce Clause
Ex Post Facto
Due Process
10th Amendment
246
Slide 27
SMART Office
Juvenile Male
• U.S. v. Juvenile Male
– 2009 U.S. LEXIS 20164 (9th Cir. 2009)
– Federal Juvenile Delinquency Act
– Tribal
– Retroactive Application
– Ex Post Facto violation
Slide 28
SMART Office
Carr v. U.S.
•
7th
Circuit Case
• 18 USC § 2250
• Pending before the U.S. Supreme Court
Slide 29
SMART Office
State Litigation
• Nevada
– Masto (pending before the Ninth Circuit)
• Alaska/Indiana/Maine
– Ex Post Facto violations
• Ohio
– Implementation litigation
Slide 30
SMART Office
Contact Us Any Time!
SMART Office
U.S. Department of Justice/OJP
202-514-4689
[email protected]
247

a model curriculum for judges - Center for Sex Offender Management

Transcription

Similar documents

Wait Watchers - Sisters of Charity of Cincinnati

Full Text - BioTechniques

Criminal Records and Expungement

Honour Based Violence/Forced Marriage

providing employment and training opportunities for

Man wanted following shooting at Montreal Road and Bradley Street

Record-08-CDD Staff Report on USE14-08-Part 40

Downtown PLEASANTON

Private Investment in Public Education

Lowood Show - Miniature Goat Breeders Association

here - CASOMB - CA Sex Offender Management Board